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Full text of "North Carolina Register v.3 no. 24 (3/15/1989)"



The 



RECEIVED 

MAR 27 1989 

LAW LIBRARY 



NORTH CAROLINA 

REGISTER 



IN THIS ISSUE 



CORRECTION 
Labor 



Bl 



cow, 

tiom| Jo 



PROPOSED RULES 

Crime Control and Public Safety 

Electrical Contractors 

Human Resources 

Real Estate Commission 

Speech and Language Pathologists 
and Audiologists 

State Personnel 

Wildlife Resources 



LIST OF RULES AFFECTED 



ISSUE DATE: MARCH 1 5, 1 989 



Volume 3 • Issue 24 • Pages 1054-1091 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published bi-monthly 
and contains information relating to agency, executive, 
legislative and judicial actions required by or affecting 
Chapter 150B of the General Statutes. All proposed, ad- 
ministrative rules and amendments filed under Chapter 
150B must be published in the Register. The Register 
will typically comprise approximately fifty pages per 
issue of legal text. 

State law requires that a copy of each issue be pro- 
vided free of charge to each county in the state and to 
various state officials and institutions. The North Carolina 
Register is available by yearly subscription at a cost of 
one hundred and five dollars ($105.00) for 24 issues. 

Requests for subscriptions to the North Carolina 
Register should be directed to the Office of Ad- 
ministrative Hearings, P. O. Drawer 1 1666, Raleigh, N. 
C. 27604, Attn: Subscriptions. 

ADOPTION, AMENDMENT, AND REPEAL OF 
RULES 

An agency intending to adopt, amend, or repeal a rule 
must first publish notice of the proposed action in the 
North Carolina Register. The notice must include the 
time and place of the public hearing; a statement of how 
public comments may be submitted to the agency either 
at the hearing or otherwise; the text of the proposed 
rule or amendment; a reference to the Statutory 
Authority for the action and the proposed effective date. 

The Director of the Office of Administrative Hearings 
has authority to publish a summary, rather than the 
full text, of any amendment which is considered to be 
too lengthy. In such case, the full text of the rule con- 
taining the proposed amendment will be available for 
public inspection at the Rules Division of the Office of 
Administrative Hearings and at the office of the pro- 
mulgating agency. 

Unless a specific statute provides otherwise, at least 
30 days must elapse following publication of the pro- 
posal in the North Carolina Register before the agency 
may conduct the required public hearing and take ac- 
tion on the proposed adoption, amendment or repeal. 

When final action is taken, the promulgating agency 
must file any adopted or amended rule for approval by 
the Administrative Rules Review Commission. Upon ap- 
proval of ARRC, the adopted or amended rule must be 
filed with the Office of Administrative Hearings. If it 
differs substantially from the proposed form published 
as part ot the public notice, upon request by the agen- 
cy, the adopted version will again be published in the 
North Carolina Register. 

A rule, or amended rule cannot become effective 
earlier than the first day of the second calendar month 
after the adoption is filed with the Office of Ad- 
ministrative Hearings for publication in the NCAC. 

Proposed action on rules may be withdrawn by the 
promulgating agency at any time before final action is 
taken by the agency. 

TEMPORARY RULES 

Under certain conditions of an emergency nature, 
some agencies may issue temporary rules. A temporary 
rule becomes effective when adopted and remains in 



effect for the period specified in the rule or 180 days, 
whichever is less. An agency adopting a temporary ruldl 
must begin normal rule-making procedures on the perl 
manent rule at the same time the temporary rule is 
adopted. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) is 
a compilation and index of the administrative rules of 
25 state agencies and 38 occupational licensing boards. 
The NCAC comprises approximately 15,000 letter size, 
single spaced pages of material of which approximate- 
ly 35% is changed annually. Compilation and publica- 
tion of the NCAC is mandated by G.S. 150B-63(b). 

The Code is divided into Titles and Chapters. Each 
state agency is assigned a separate title which is fur- 
ther broken down by chapters. Title 21 is designated 
for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum 
cost of two dollars and 50 cents ($2.50) for 10 
pages or less, plus fifteen cents ($0.15) per each 
additional page. 

(2) The full publication consists of 52 volumes, 
totaling in excess of 15,000 pages. It is sup- 
plemented monthly with replacement pages. A 
one year subscription to the full publication in- 
cluding supplements can be purchased for 
seven hundred and fifty dollars ($750.00). In 
dividual volumes may also be purchased wit 



i 



supplement service. Renewal subscriptions for 

supplements to the initial publication available. 

Requests for pages of rules or volumes of the NCAC 

should be directed to the Office of Administrative 

Hearings. 

NOTE 

The foregoing is a generalized statement of the pro- 
cedures to be followed. For specific statutory language, 
it is suggested that Articles 2 and 5 of Chapter 150B of 
the General Statutes be examined carefully. 

CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issue, 
page number and date. 1:1 NCR 101-201, April 1, 1986 

refers to Volume 1, Issue 1, pages 101 through 201 of 
the North Carolina Register issued on April 1, 1986. 



North Carolina Register. Published bi-monthly by 
the Office of Administrative Hearings, P.O. Drawer 
11666, Raleigh, North Carolina 27604, pursuant to 
Chapter 150B of the General Statutes. Subscriptions 
one hundred and five dollars ($105.00) per year. 
North Carolina Administrative Code. Published 
in looseleaf notebooks with supplement service by 
the Office of Administrative Hearings, P.O. 
Drawer 1 1666, Raleigh, North Carolina 27604, pur- 
suant to Chapter 150B of the General Satutes. 
Subscriptions seven hundred and fifty dollars 
($750.00). Individual volumes available. 



NORTH 
CAROLINA 
REGISTER 




ISSUE CONTENTS 



I. CORRECTION 

Department of Labor . 



.1054 



Office of Administrative Hearings 

P. O. Drawer 11666 

Raleigh, \C 27604 

(919) 733 - 2678 



Robert A. Mclott, 

Director 
James R. ScarcelJa Sr., 

Deputy Director 
Molly Masich, 

Director APA Services 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 



II. PROPOSED RULES 
Human Resources 

Health Services 1055 

Crime Control and Public Safety 

Governor's Crime 

Commission 1058 

Licensing Boards 

Electrical Contractors 1 060 

Real Estate Commission 1062 

Speech and Language 

Pathologists and 

Audiologists 1075 

NRCD 

Wildlife Resources and 

Water Safety 1059 

State Personnel 

Office of State Personnel 1078 

III. LIST OF RULES AFFECTED 

March 1, 1989 1083 

TV. CUMULATIVE INDEX 1( 



NORTH CAROLINA REGISTER 

Publication Deadlines and Schedules 

(January 1989 - May 1990) 



Issue 


Last Day 


Last Day 


Earliest 


* 


Date 


for 


for 


Date for 


Earliest 




I-'iling 


Electronic 


Public 


Effective 






Filing 


Hearing & 
Adoption by 
Agency 


Date 


+***++++ 


******** 


******** 


++**♦♦+* 


******** 


01/02/89 


12/08/88 


12/15/88 


02/01/89 


05/01/89 


01/16/89 


12/27/88 


01/03/89 


02/15/89 


05/01/89 


02/01/89 


01/10/89 


01/17/89 


03/03/89 


06/01/89 


02/15/89 


01/26/89 


02/02/89 


03/17/89 


06/01/89 


03/01/89 


02/08/89 


02/15/89 


03/31/89 


07/01/89 


03/15/89 


02/21/89 


03/02/89 


04/14/89 


07/01/89 


04/03/89 


03/10/89 


03/17/89 


05/03/89 


08/01/89 


04/14/89 


03/23/89 


03/31/89 


05/14/89 


08/01/89 


05/01/89 


04 '10/89 


04/17/89 


05/31/89 


09/01/89 


05/15/89 


04/24/89 


05/01/89 


06/14/89 


09/01/89 


06/01/89 


05/10/89 


05/17/89 


07/01/89 


10/01/89 


06/15/89 


05/24/89 


06/01/89 


07/15/89 


10/01/89 


07/03/89 


06/12/89 


06/19/89 


08/01/89 


11/01/89 


07/14/89 


06/22/89 


06/29/89 


08/13/89 


11/01/89 


08/01/89 


07/11/89 


07/18/89 


08/31/89 


12/01/89 


08/15/89 


07/25/89 


08/01/89 


09/14/89 


12/01/89 


09/01/89 


08/11/89 


08/18/89 


10/01/89 


01/01/90 


09/15/89 


08/24/89 


08/31/89 


10/15/89 


01/01/90 


10/02/89 


09/11/89 


09/18/89 


11/01/89 


02/01/90 


10/16/89 


09/25/89 


10/02/89 


11/15/89 


02/01/90 


11/01/89 


10/11/89 


10/18/89 


12/01/89 


03/01/90 


11/15/89 


10/24/89 


10/31/89 


12/15/89 


03/01/90 


12/01/89 


11/07/89 


11/15/89 


12/31/89 


04/01/90 


12/15/89 


11/22/89 


12/01/89 


01/14/90 


04/01/90 


01/02/90 


12/07/89 


12/14/89 


02/01/90 


05/01/90 


01/16/90 


12/20/89 


12/29/89 


02/15/90 


05/01/90 


02/01/90 


01/10/90 


01/18/90 


03/03/90 


06/01/90 


02/15/90 


01/25/90 


02/01/90 


03/17/90 


06/01/90 


03/01/90 


02/08/90 


02/15/90 


03/31/90 


07/01/90 


03/15/90 


02/22/90 


03/01/90 


04/14/90 


07/01/90 


04/02/90 


03/12/90 


03/19/90 


05/02/90 


08/01/90 


04/16/90 


03/23/90 


03/30/90 


05/16/90 


08/01/90 


05/01/90 


04/09/90 


04/17/90 


05/31/90 


09/01/90 


05/15/90 


04/24/90 


05/01/90 


06/14/90 


09/01/90 



* The "Earliest Effective Dale" is computed assuming that the public hearing 
and adoption occur in the calendar month immediately following the "Issue 
Date", that the agency fdes the rule with The Administrative Rules Review 
Commission by the 20th of the same calendar month and that ARRC approves 
the rule at the next calendar month meeting. 



CORRECTION 



CORRECTION TO NOTICE AS PUBLISHED IN THE NORTH CAROLENA REGISTER, 
VOLUME 3, ISSUE 23 ON PAGE 1028. 

TITLE 13 - DEPARTMENT OF LABOR 

IVotiee is hereby gh'en in accordance with G.S. J SOB- J 2 thai the Department of Labor intends to adopt 
rule cited as 13 NCAC 7C .0105. 

1 he proposed effective date of this action is July 1 , 1989. 

1 he public hearing will be conducted at 2:00 p.m. on April 12, 1989 at Conference Room, Room 249, 
Labor Building, 4 West Edenlon Street, Raleigh, NC 27601. 



Cc 



omment Procedures: People wanting to present oral testimony at the hearing or who want to have 
written testimony read at the hearing should provide a written summary of the proposed testimony to the 
department by April 7, 1989. Oral presentations will be limited to 15 minutes each. Written statements 
not presented at the hearing will be accepted by the department until April 12, 1989. All correspondence 
should be directed to Bobby Bryan, N.C. Department of Labor, 4 West Edenton Street, Raleigh, NC 
27601. Interpreters for the hearing impaired will be made available if requested 24 hours in advance. 



i V otice is hereby given in accordance with G.S. 1 SOB- 12 that the Department of Labor intends to adopt 
rule cited as U NCAC 7C .0106. 

1 he proposed effective date of this action is July 1 , 1989. 

1 he public hearing will be conducted at 2:00 p.m. on April 13, 1989 at Conference Room, Room 249, 
Labor Building, 4 West Edenton Street, Raleigh, NC 27601 . 

(_^ omment Procedures: People wanting to present oral testimony at the hearing or who want to have 
written testimony read at the hearing should provide a written summary of the proposed testimony to the 
department by April 8^ 1989. Oral presentations will be limited to 15 minutes each. Written statements 
not presented at the hearing will be accepted by the department until April 13, 1989. A 11 correspondence 
should be directed to Bobby Bryan, N.C. Department of Labor, 4 West Edenton Street, Raleigh, NC 
27601 . Interpreters for the hearing impaired will be made available if requested 24 hours in advance. 



NOR 77/ CAROLINA REGIS TER 1054 



PROPOSED RULES 



TITLE 10 



DEPARTMENT OF HUMAN 
RESOURCES 



No 



otice is hereby given in accordance with G.S. 
I SOB- 12 that the Division of Health Services in- 
tends to amend rules cited as 10 NCAC 8C .0602, 
.0802, .0805 - .0806, .0808 - .0809, .0901 - .0902, 
.1103 - .1104, .1106. 

1 he proposed effective date of this action is July 
1, 1989. 

1 he public hearing will be conducted at 1:30 
p.m. on April 14, 1989 at Cooper Memorial 
Health Building, Sixth Floor Board Room, 225 
North McDowell Street, Raleigh, North Carolina. 

(comment Procedures: Any person may request 
information or copies of the proposed rules by 
writing or calling John P. Bark/ey, Agency Legal 
Specialist, Division of Health Services, P.O. Box 
2091, Raleigh, North Carolina 27602-2091, (919) 
733-3134. Written comments on these rule 
changes may be sent to Mr. Barkley at the above 
address. Written and oral comments (no more 
than ten minutes for oral comments ) on these rule 
changes may be presented at the public hearing. 
Notice should be given to Mr. Barkley at least 
three days prior to the public hearing if you desire 
to speak. 

CHAPTER 8 - HEALTH: PERSONAL HEALTH 

SUBCHAPTER 8C - NUTRITION AND DIETARY 
SERVICES 

SECTION .0600 - VV1C PROGRAM GENERAL 
INFORMATION 

.0602 DEFINITIONS 

For the purposes of this Subchapter, all defi- 
nitions set forth in 7 C.F.R. Part 246.2 (4W9) 
shall be incorporated arc adopted by reference in 
accordance with G.S. 150B- 14(c) with the fol- 
lowing additions and modifications: 
(9) The "state agency" is the nutrition and 
dietary services branch, maternal and child 
care section, division of health services, 
North Carolina Department of Human Re- 
sources, located in Room ^44y Bath Build 
m^.0416 North Wilmington Stre e t, 309. 1330 
St. Man's Street, Raleisih, North Carolina 
27602. 

Statutory Authority G.S. 130.4-361. 

SECTION .0800 - ELIGIBILITY FOR WIC 
PROGRAM PARTICIPATION 



.0802 APPLICATION 

(a) An individual shall be considered an appli- 
cant for the WIC program when ho/sho the indi- 
vidual first visits the local WIC agency and 
specifically requests to participate in the program. 
At this time the local WIC agency shall fill out 
DHS Form 2767, "Application fe* Special Sup 
plomontal Food Program fof Women, Infants 
&n4 Children." 3367, WIC Certification Form. 
This form is available from the nutrition and 
dietary services branch, division of health ser- 
vices, P.O. Box 2091, Raleigh, North Carolina 
27602. 

(b) Applications shall be accepted by a local 
WIC agency whenever the agency is open to the 
public. 

(c) The decision and notification of eligibility 
or ineligibility shall be made in accordance with 
7 C.F.R. 246.7 (ft (1979). (e), which is adopted 
by reference in accordance with G.S. 150B-14(c). 

Statutory Authority G.S. 130A-361. 

.0805 SCHEDLLE OF CERTIFICATION 

The period of certification of an individual shall 
follow the schedule contained in 7 C.F.R. 246.7 
(g} (1979) (f), which is adopted by reference in 
accordance with G.S. 1 SOB- 14(c), as interpreted 
in the North Carolina WIC Program Manual. 

Statutory Authority G.S. 130A-361. 

.0806 DOCUMENTATION OF CERTIFICATION 

(a) 7 C.F.R. 246.7 fW9} which is adopted by 
reference in accordance with G.S. 150B- 14(c), 
requires that specific information be recorded on 
the same or separate forms, that the forms be 
signed by the individual making the determi- 
nation and that certain statements be read and 
signed by the participant. DHS Form 2767, 
Application fof the Special Supplemental Food 
Program fep Women, Infants af*4 Children, a«4 
D44£- £«,*» 3^i W4€ Program Date featfy 
Form. 3367, WIC Certification Form, shall be 
completed m order to meet these requirements. 

Statutory Authority G.S. 130A-361. 

.0808 WAITING LIST 

(c) Local WIC agencies shall enroll individuals 
in a manner which ensures that applicants in a 
higher priority group are first given an opportu- 
nity to receive food instruments in accordance 
with 7 C.F.R. 246.7(d)(3) (1979). which is 
adopted by reference in accordance with G.S. 
150B- 14(c). 



1055 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



Statutory Authority G.S. 130 A- 361. 

.0809 REQUIRED NOTIFICATIONS 

7 C.F.R. 246.7 (1979) which is adopted by ref- 
erence in accordance with G.S. 150D- 14(c), 
mandates that individuals who apply for or par- 
ticipate in the WIC program shall be notified in 
certain specified situations. The time frames and 
contents of these notices shall be reproduced in 
the North Carolina WIC Program Manual. The 
notices shall include but not be limited to, a 
statement of a right to a fair hearing as described 
in Rule .1304 of this Subchapter. 

Statutory Authority G.S. 130A-361. 

SECTION .0900 - WIC PROGRAM FOOD 
PACKAGE 

.0901 ALLOWABLE FOODS 

(a) The foods which may be provided to WIC 
program participants are specified in 7 C.F.R. 
246.8 fMW) a«4 5 C.F.R. 244*$ (1980). and 7 
C.F.R. 246.10, which are adopted by reference in 
accordance with G.S. 150B- 14(c). 

(b) The following exclusions from the food 
package have been adopted by the North 
Carolina WIC program and approved by the 
United States Department of Agriculture, Food 
and Nutrition service: 

fS) ptKinut buttt ' r; 

(6) (_5| cheese in excess of four pounds per 
month, unless a physician documents the 
presence of lactose intolerance; 

£7) {6} incomplete formulas, i.e., those re- 
quiring the addition of any ingredient 
other than water prior to being served in 
a liquid state; 

(■8) (21 ^ formulas other than standard milk- 
based iron fortified infant formulas, unless 
a physician prescribes a formula and doc- 
uments the presence of a medical condi- 
tion, the reason for the specific formula 
prescribed, and the duration of its use; 

(94 (8) if the WIC program executes a sole 
source contract for an infant formula, that 
formula shall be specified in the vendor 
contract and on the food instrument, and 
all other formulas shall be excluded from 
the food package, unless a physician pre- 
scribes a different formula and documents 
the presence of a medical condition, the 
reason for the specific formula prescribed, 
and the duration of its use; 
(444} (9} other foods determined by the state 
agency to be inappropriate for provision 
as supplemental foods through the WIC 
program as a result of their composition, 



packaging or promotion in a manner 
which is contrary to the purpose of the 
program as contained in .0601(a) of this 
Subchapter. 

Statutory Authority G.S. 130A-361. 

.0902 QUANTITY OF FOODS 

The amount of supplemental foods provided 
shall not exceed the maximum quantities speci- 
fied in 7 C.F.R. 344^ (1980). 246.10, which is 
adopted by reference in accordance with G.S. 
150B-14(c). 

Statutory Authority G.S. I30A-361 . 

SECTION .1 100 - WIC PROGRAM FOOD 
DISTRIBUTION SYSTEM 

.1 103 USE OF FOOD INSTRUMENTS 

(a) Participants may redeem food instruments 
on any day on or between the "date of issue" and 
"void tf Re*- uood hy^- "participant must use by" 
dates assigned to the food instrument. 

Statutory Authority G.S. 130A-361. 

.1 104 VALIDITY OF WIC FOOD 
INSTRUMENTS 

(a) North Carolina WIC food instruments shall 
not be valid if: 

(7) the "pay exactly" amount exceeds the 
"void if exceeds amount" or exceeds the 
total amount of the shelf prices on the 
date redeemed pk» Ae appropriate nak»o 
tax e s for the eligible food items called for 
on and provided in consideration of the 
instrument; 

Statutory Authority G.S. 130A-361. 

.1 106 AUTHORIZED WIC VENDORS 

(b) In order to participate in the WIC program, 
the vendor shall: 

(16) Maintain a minimum inventory of eligi- 
ble food items in the store for purchase 
by WIC Program participants. All such 
foods shall be within the manufacturer's 
expiration date. The following items and 
sizes constitute the minimum inventory 
of eligible food items for stores classified 
1 -4: 
food Item Type of Inventory 

Milk Whole fluid: gallon 

and half gallon 

-and- 
Skim/lowfat fluid: 
gallon or half gallon 



NORTH CAROLINA REGISTER 



1056 



PROPOSED RULES 





Nonfat dry: quart 




package 




-or- 




Evaporated: 12 oz. 




can 


Cheese 


2 types 


Cereals 


4 types (minimum 




box size 7 oz.) 


Eggs 


Grade A, large or 




extra-large: white 




or brown 


Juices 


Orange juice must be 




available in 2 types. 




A second flavor must 




be available in 1 




type. The types are: 




12 oz. frozen, 46 oz. 




can, 64 oz. container 


Dried Peas 




and Beans 


2 types 


Peanut 




Butter 


18 oz. jars 


Infant 


2 juices; 4.2 oz. 


Fruit Juice 


jars 


Infant 


2 cereal grains; 


Cereal 


8-oz. boxes (one 




must be rice) 


Infant 


2 types; or 1 type 


Formula 


contracted for by 




the WIC program 




and designated on 




the food instrument; 




13 oz. concentrate 



Quantities Required 



Total of 6 gallons 
fluid milk 



Total of 5 quarts 
when reconstituted 



Total of 6 pounds 
Total of 12 boxes 

6 dozen 



6 of each type 
in stock 



3 one pound bags 
3 jars 
30 jars 

6 boxes 



62 cans 

For store classification 5, the following applies: 
Supply within 48 hours of verbal request by local 
WIC agency staff any of the following products: 
Nutramigen, Portagen, Pregestimil, Similac Spe- 
cial Care 24, Similac 60/40, Similac (Low-Iron), 
Enfamil (Low-Iron), SMA Low Iron, Ensure, 
Ensure Plus, Osmolite, Sustacal HC, Sustacal, 
Isocal, Enrich, an4 Enfamil Premature, Formula. 
PcdiaSure, Polvcose and MCT Oil. All vendors 
(classifications 1 through 5) shall supply milk or 
soy based, 32 oz. ready-to-feed or powdered in- 
fant formula upon request. 

(21) Allow reasonable monitoring and in- 
spection of the store premises and proce- 
dures to ensure compliance with this 
agreement and state and federal WIC 
Program rules, regulations and policies; 
This includes, but shall not be limited to, 
allowance of access to WIC food instru- 
ments negotiated the day of the monitor- 
ing and vendor records pertinent to the 
purchase of WIC food items; vendor re- 
cords of all deductions and exemptions 
allowed by law or claimed in tiling sales 
and use tax returns, and vendor records 
of all WIC food items purchased, includ- 
ing invoices and copies of purchase orders; 
(e) An authorized WIC vendor may be dis- 
qualified from the WIC program for violation of 
10 NCAC 8C .1106(b) or violation of any other 
state and federal WIC program rules for a period 
not to exceed 3 years in accordance with the fol- 
lowing: 

(4) Notwithstanding disqualification pursuant 
to accumulated points, an authorized 
WIC vendor shall also be disqualified 
from the WIC program upon disquali- 
fication or imposition of a civil money 
penalty from another L'SDA, FNS Pro- 



1057 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



gram for a period not to exceed that of the 
other disqualification, or for a period not 
to exceed that of the original disqualifica- 
tion period determined by the I'SDA, 
INS Program before imposition of the 
civil money penalty. 

Statutory Authority G.S. 130A-36I. 

TITLE 14A - DEPARTMENT OF CRIME 
CONTROL AND PUBLIC SAFETY 



iV otice is hereby given in accordance with G.S. 
I SOB- 1 2 that the N.C. Department of Crime 
Control and Public Safety j Governor's Crime 
Commission intends to amend rule cited as 14A 
NCAC 7 .0311. 

1 he proposed effective date of this action is July 
I, 1989. 

1 he public hearing will be conducted at 1:00 
p.m. on April 14, 1989 at Library, Second Floor, 
Archda/e Building, 5/2 ;V. Salisbury St., Raleigh, 
NC 27611. 

K^omment Procedures: Any interested person 
may present comments relevant to the action pro- 
posed at the public hearing cither in writing or oral 
form. Written statements not presented at the 
public hearing may be directed prior to the hearing 
to Annie Thompson, Administrative Procedures 
Coordinator, Second Floor, Archdale Building, 
5/2 N. Salisbury Street, Raleigh, or P.O. Box 
27687, Raleigh, NC 27611-7687. 

CHAPTER 7 - DIVISION OF GOVERNOR'S 
CRIME COMMISSION 

SECTION .0300 - GRANT APPLICATION 
PROCESS AND ADMINISTRATION 

.0311 GRANT APPLICATION PROCESS 

(b) Applications arc reviewed by the executive 
director or his designee. Applications must ad- 
here to the guidelines for the appropriate state 
or federal grant program and include the follow- 
ing elements, as described in the application in- 
structions: 

(1) general administrative information; 

(2) problems addressed by proposed project; 

(3) a goal statement, measurable objectives 
of the project and project activities; 

(4) project operation; 

(5) monitoring and evaluation criteria for the 
project; 



(7) 



(8) 
(9) 



(6) detailed budget description including a 
budget narrative, budget summary, and 
matching funds information; 

a fist of grant conditions which must be 
agreed to by an authorizing official of the 
applicant; 

a certification of non-supplanting; 

a plan for assumption of project costs on 
a continuing basis by the applicant; 

(10) a statement of consent authorizing certain 
services or outlays made by other agencies 
to be charged against funds which could 
be used by local units of government if 
appropriate, (and if applicable); 

(11) a certification of filing of an equal em- 
ployment opportunity program; 

(12) a certification that the grantee will com- 
ply with all d mg-free workplace require- 
ments set forth in the federal Anti-Drug 
Abuse Act of 1988; 

( 1 3) a certification that neither the grantee nor 
its officers or consultants arc presently 
debarred, proposed for debarment, sus- 
pended, declared ineligible, or voluntarily 
excluded from receiving federal funds. (If 
this certification cannot be provided, the 
applicant will not necessarily be denied 
participation in this program. I he appli- 
cant must submit an explanation of why 
it cannot provide the certification. The 
certification or explanation will be con- 
sidered in connection with the determi- 
nation by the Division and Crime 
Commission as to whether to approve the 
application. However, if neither the cer- 
tification nor an explanation is provided, 
then the application will be rejected.) 

(14) f-14+ a certification of filing of an environ- 
mental evaluation (if applicable); 

(15) (44+ a certification of submission of ap- 
plication to the state budget officer (state 
agencies only); 

( 16) (44} memorandum of agreement or con- 
tract with local governmental unit (pri- 
vate, non-profit programs only); 

(17) (44) original signatures of authorizing of- 
ficial, implementing project director, and 
applicant's chief financial officer; and 

(18) (44) agreement to submit annual audit of 
program. 

Statutory Authority G.S. 143B-477; 143B-479. 

TITLE 15 DEPARTMENT OF NATURAL 

RESOURCES AND COMMUNITY 

DEVELOPMENT 



NORTH CAROLINA REGISTER 



1058 



PROPOSED RULES 



1\ otice is hereby given in accordance with G.S. 
1 SOB- 12 that the North Carolina Wildlife Re- 
sources Commission intends to amend rules cited 
as 15 NCAC 101 .0002 - .0004; adopt 15 NCAC 
101 .0005. 

1 he proposed effective date of this action is July 

1, 1989. 

1 he public hearing will be conducted at 10:00 
a.m. on April 14, I9S9 at Room 386, Archdale 
Building, 512 N. Salisbury Street, Raleigh, North 
Carolina. 

Comment Procedures: Interested persons may 
present their views either orally or in writing at the 
hearing. In addition, the record of hearing will 
be open for receipt of written comments from 
March 30, 1989 to April 28, 1989. Such written 
comments must be delivered or mailed to the N.C. 
Wildlife Commission, 512 N. Salisbury St., 
Raleigh, NC 27611. 

CHAPTER 10 - WILDLIFE RESOURCES AND 
WATER SAFETY 

SUBCHAPTER 101 - ENDANGERED AND 
THREATENED SPECIES 

.0002 PROTECTION OF ENDANGERED: 
THREATENED AND SPECIAL 
CONCERN SPECIES 

(a) No Open Season. There shall be no open 
season for taking any of the species listed as en- 
dangered in Rule .0003, &t as threatened in Rule 
.0004 OQ unless otherwise provided, as special 
concern in Rule .0005 of this Subchapter. Ex- 
cept as provided in Paragraphs (b), (c) and (e) 
of this Rule, it is unlawful to take or possess any 
of such species at any time. 

(b) Permits. The executive director may issue 
permits to take an endangered, e* threatened, or 
special concern species for the purpose of scien- 
tific investigation relevant to perpetuation or res- 
toration of said species or as a part of a 
commission-approved study or restoration effort. 

(c) Taking Without a Permit 

(1) An individual may take an endangered, &f 
threatened, or special concern species in 
defense of his own life or the lives of oth- 
ers without a permit. 

(2) A state or federal conservation officer or 
employee who is designated by his agency 
to do so may, when acting in the course 
of his official duties, take, possess, and 
transport endangered, »f threatened, or 
special concern species without a permit 
if the action is necessary to: 



(A) aid a sick, injured, diseased or orphaned 
specimen; 

(B) dispose of a dead specimen; 

(C) salvage a dead specimen which may be 
useful for scientific study; or 

(D) remove specimens which constitute a 
demonstrable but nonimmediate threat to 
human safety, provided the taking is done 
in a humane and noninjurious manner; 
The taking may involve injuring or killin g 
endangered, &f threatened, or special con- 
cern species only if it is not reasonably 
possible to eliminate the threat by live- 
capturing and releasing the specimen un- 
harmed, in a suitable habitat. 

(d) Reporting. Any taking or possession of an 
endangered, &f threatened, or special concern 
species under Subsections (b) and (c) of this Rule 
is subject to applicable reporting requirements 
of federal law and regulations and the reporting 
requirements of tke commiooion ef the permit 
issued by the executive director or of 15 NCAC 
10D .0106(e). 

(e) Exception. Notwithstanding any other 
provisions of this Rule, processed meat and other 
parts of American alligators, which have been 
lawfully taken in a state in which there is an open 
season for harvesting alligators, may be pos- 
sessed, bought and sold when such products are 
marketed in packages or containers which are 
distinctly labeled to indicate the state in which 
they were taken and the identity, location, and 
lawful authority of the processor or distributor. 

Statutory Authority G.S. 113-134; 113-291.2; 
113-291.3; 113-292; 113-333. 

.0003 ENDANGERED SPECIES LISTED 

(a) The following species of resident wildlife are 
designated as federally-listed endangered species: 

(1) American alligator (Alligator 
miooisoipienois); Cape fear shiner 
(Notropis mekistocholas): 

(2) American peregrine falcon (Falco 
peregrinus anatum); 

(3) Arctic p e regrin e falcon (Ealoo porggrinuo 
tundriuo); Carolina northern flying 
squirrel (Glaucomvs sabrinus coloratus); 

Bachman's warbler (Verimivora 
bachmanii); 

Bald eagle (Haliaeetus leucocephalus); 

Brown pelican (Pel e canuo occidcntalis); 
Roseate tem (Sterna dougallii dougallii); 

Eastern cougar (Felis concolor cougar); 

Gray bat (Myotis grisescens); 

Indiana bat (Myotis sodalis): 

Ivory-billed woodpecker (Campephilus 
principalis); 



(4) 

(5) 
(6) 

(7) 
(8) 

(9) 
(10) 



1059 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(11) Kirtland's warbler (Dcndroica kirtlandi); 

(12) Leathcrback turtle (Dcrmochelys 
coriacea); 

(13) Manatee (Trichechus manatus), when 
found in inland fishing waters; 

(14) Red-cockaded woodpecker (Picoides 
borealis); 

(15) Shortnose sturgeon (Acipenser 
brevirostrum), when found in inland fish- 
ing waters; 

(16) Atlantic 
kempii); 

(17) Hawksbill 
imbricata); 

( 18) Tar river spiny mussel (Flliptio 
[canthvrial steinstansana); 



ridley turtle (Lepidochelys 
turtle (Eretmochelys 



(19) 



Virginia 



big-eared 



bat (Plecotus 



townsendii townsendii) 



(20) Wood stork ( Mycteria americana). 
(b) The following species of resident wildlife 
are designated as state-listed endangered species: 



(4) Star-nosed mole (Condylura cristata 
parva); 

(5) Southeastern bat (Myotis austroriparius); 

(6) Keen's bat (Myotis keenii septentrionalis); 

(7) Small-footed bat (Myotis liebi liebi); 

(8) Rafinesque's big-eared bat (Plecotus 
rafinesquii rafinesquii and P.r. macrotis); 

(9) Brazilian free-tailed bat (Tadarida 
brasiliensis cynocephala); 

(10) Eastern wood rat (Neotoma floridana 
haemitora and N.f. magister); 

(11) Rock vole (Microtus chrotorrhinus 
carolinensis); 

(12) Bog turtle (clemmys muhlcnbergii); 

(13) Green salamander (Aneides aeneus). 



Statutory Authority G.S. 
113-292; 113-333. 



113-134; 113-291.2; 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 



NONE LISTED AT THIS TIME 



No 



Statutory Authority G.S. 
113-292; 113-333. 



113-134; 113-291. 2; 



.0004 THREATENED SPECIES LISTED 

(a) The following species of resident wildlife are 
designated as federally-listed threatened species: 

(1) Spotfin chub (Hybopsis monacha), 

(2) Noonday land snail (Mcsodon clarki 
nantahala); 

(3) Green turtle (Chelonia mydas); 

(4) Loggerhead turtle (Caretta caretta). 

(5) American alligator (Alligator 
mississipiensis); 

(6) Artie peregrine falcon (Lalco percgrinus 
tundrius); 

(7) Dismal swamp southern shrew (Sorex 
lontrirostris fisheri); 

(8) Piping plover (Charadrius melodus); 

(9) Waccamaw silvcrside (Menidia extensa). 

(b) The following species of resident wildlife 
are designated as state-listed threatened species: 

( 1) Eastern wood rat ( Neotoma floridana 
floridana). 

Statutory Authority G.S. 
113-292; 113-333. 



113-134; 113-291.2; 



.0005 SPECIAL CONCERN SPECIES LISTED 

The following species of resident wildlife are 
designated as state-listed special concern species: 

(1) Water shrew (Sorex palustris punctulatus); 

(2) Long-tailed shrew (Sorex dispar blitchi); 

(3) Pygmy shrew (Sorex hoyi winncmana); 



otice is hereby given in accordance with G.S. 
150B-12 that the N.C. State Board of Examiners 
of Electrical Contractors intends to amend rule(s) 
cited as 21 NCAC 18B .0209, .0404, .0704. 

1 he proposed effective date of this action is July 
I, 19S9. 

1 he public hearing will be conducted at 1 1 .00 
a.m. on April 14, 1989 at North Carolina State 
Board of Examiners of Electrical Contractors, 
1200 Front Street, Suite 105, Raleigh, NC 27609. 



Co 



■ omment Procedures: Any person interested in 
these Rules may present oral comments relevant 
to the actions proposed at the public hearing or 
deliver written comments to the North Carolina 
State Board of Examiners of Electrical Contrac- 
tors, 1200 Front Street, Suite 105, Raleigh, NC 
27609, not later than 10:30 a.m. on April 14, 
1989. 

CHAPTER 18 - BOARD OF EXAMINERS OF 
ELECTRICAL CONTRACTORS 

SUBCHAPTER 18B - BOARD'S RULES FOR THE 

IMPLEMENTATION OF THE ELECTRICAL 

CONTRACTING LICENSING ACT 

SECTION .0200 - EXAMINATIONS 

.0209 FEES 

(a) The combined application and examination 
fees for the regular qualifying examinations in the 
various license classifications are as follows: 



NORTH CAROLINA REGISTER 



1060 



PROPOSED RULES 



APPLICATION AND EXAMINATION 
FEE SCHEDULE: REGULAR 



CLASSIFICATION 

Limited 

Intermediate 

Unlimited 

SP-SFD 

Special Restricted 

EXAMINATION 
FEE 



APPLICATION 
FEE 

$15.00 

$25.00 $30.00 
$50.00 $65.00 
$15.00 
$15.00 
TOTAL 
COMBINED 
FEE 

$ 2$m% 30.00 

$ s&m% 60.00 

$100.00 $! 15.00 
$ 2$m$ 30.00 
$ 2$m$ 30.00 



(b) The combined application and examination 
fees for a specially-arranged qualifying examina- 
tion in the various license classifications are as 
follows: 

APPLICATION AND EXAMINATION 

FEE SCHEDULE: SPECIALLY 

ARRANGED 



$10.00 $15.00 


$25.00 $30.00 


$50.00 


$10.00 $15.00 


$10.00 $15.00 



CLASSIFICATION 



All Classifications 

I imited 

Intermediate? 

Unlimited 

SP SFD 

Sp e cial R e strict e d 

EXAMINATION 
FEE 

$100.00 
$100.00 

i wm 

$ WrOQ 



APPLICATION 
FEE 

$100.00 

$mm 

$-WW)Q 

TOTAL 

COMBINED 

FEE 

$200.00 
$10 11 .00 
$125.00 
$150.00 
$100.00 
$100.00 



(c) The fee for a supervised review of a failed 
examination with the Board or staff assistance is 
ten dollars ($10.00) for all classifications. 

(d) Pursuant to G.S. Chapter 150B, Article 2, 
the Board may vary the application and exam- 
ination fees from year to year according to es- 
sential financial needs for the next ensuing fiscal 
year as determined and established by the Board 



not later than the regular third quarter board 
meeting of the current fiscal year. 

(e) The total combined application and exam- 
ination fees for regular or specially-arranged ex- 
aminations in all classifications and the fees for 
examination reviews must be in the form of a 
check or money order made payable to the Board 
and must accompany the respective applications 
when filed with the Board. 

(0 Application and examination fees received 
with applications filed for qualifying examina- 
tions shall be retained by the Board unless: e* 
refunded te the applicant as follows: 

ffe The application fee portion ef- the total 

oh all be retained by the Board unless: 
(A) the applicant does net take the exam 
ination for which he ha* applied &&d fife* 
with the Board a written r e quest fo* re- 
fund, s e tting e«t the e xtenuating cireum 
stances fef ouch r e quest: and 
(8) thg applicant's written request ief a re- 

i lii iu tw opuenrocn t cti 'P™ * ' * uu i t y 1 i iv ljulu kx. 

Tb« examination fee portion ef- the total 

shall be refunded te> aȴ applicant who 
doeo net take the examination during the 
e xamination period f-ef which he has ap- 
plied. 

The total combined application and e#- 
amination fee shall be returned te- e ach 
applicant whooo application has net boon 
d«k/ fifed as pr e scribed i» Rule .0210 ef 
this Section. 
( 1) an application is not duly filed as 



(3) 



m 



senbed in Rule .0210 of this Section, in 
vv inch case the combined application and 
exammation fee shall be returned: or 
(2) the applicant does not take the examina- 
tion during the examination period for 
which he has applied, the applicant files 
with the Board a written request for a re- 
fund, setting out the extenuating circum- 
stances, and the Board approves the 
refund. The Board may refund the ap- 
plication fee, the examination fee, or both, 
as justified by the extenuating circum- 
stances. 



(g) Examination review fees are non-refundable 
unless the applicant's written request for a refund 
is specifically approved by the Board. 

(h) Any fee retained by the Board shall not be 
creditable toward the payment of any future ap- 
plication of examination fee or the fee for an ex- 
amination review. 

Statutory Authority G.S. 87-42; 87-43.3; 87-43.4; 
87-44. 



1061 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



SECTION .0400 - LICENSING REQUIREMENTS 

.0404 ANNUAL LICENSE FEES 

(a) The annual license fees and license renewal 
fees for the various license classifications are as 
follows: 

LICENSE FEE SCHEDULE 

CLASSIFICATION LICENSE FEE 



I imitcd 

Intermediate 

Unlimited 

SP-SFD 

Special Restricted 



% j£>m $ 30.00 

$mm % (so. oo 

$100.00 3)113.00 
j.jxOQ S 30.01) 

$OS44<4 $ 30.00 



(b) License fees must be in the form of a check 
or any money order made payable to the Board 
and must accompany the applicant's license ap- 
plication or license renewal application when ci- 
ther is filed with the Board. 

(c) The Board may, after a hearing pursuant to 
G.S. Chapter 150B, Article 2, vary the annual li- 
cense fees from year to year according to the es- 
sential financial needs for the next ensuing fiscal 
year as determined and established by the board 
not later than the regular third quarter board 
meeting of the current fiscal year. 

Statutory Authority G.S. 87-42; 87-44. 
SECTION .0700 - LICENSING RECIPROCITY 

.0704 RECIPROCITY: ALABAMA 

Pursuant to the provisions of Rule .0701 of this 
Section and the formal resolution agreement be- 
tween the Board and the Florida .Alabama Elec- 
trical Contractors I icensing Board, licensees of 
the Florida .Alabama Board, who arc non-resi- 
dents of North Carolina, arc eligible to apply for 
and obtain a North Carolina electrical contract- 
ing license and North Carolina licensees, who are 
non-residents of Florida. Alabama, are eligible to 
apply to the Florida Alabama Board and obtain 
a Florida Alabama electrical contracting license 
in classifications as prescribed in the following 
table: 

FT OR IDA ALABAMA ELIGIBLE FOR 
LICENSEE NORTH CAROLINA 

LICENSE 

Unlimited Unrestricted Unlimited 

NORTH CAROLINA FI IGIBI.E FOR 

FIOklDA 



LICENSEE 
Unlimited 



ALABAMA 
LICENSE 

Unlimited Unrestricted 



Statutory Authority G.S. 87-42; 87-50. 



•k-k'k'k'k'k'k'k'k'k'k-k'k-k^c'k'k-k 



No 



otice is hereby given in accordance with G.S. 
I SOB- 12 that the North Carolina Real Estate 
Commission intends to adopt ndc(s) cited as 21 
NCAC 58 A .1601; amend rule(s) cited as 21 
NCAC 58 A .0101, .0/04 - .0112, .0301, .0401 - 
.0402, .0406, .0501, .0506, .0601, .0805, .1003, 
.1005 - .1006, .1/04 - .1105, .1301, .1305, .1307, 



1317, .1402 - .1404: 21 NCAC 58B .0/01, 
.0201 - .0202, .0501, .0602; and repeal 
cited as 21 NCAC 58 A .0611, .1202 - 
1205 - .1206. 



.1314, . 
.0104, 
rule(s) 
.1203, . 

1 he proposed effective dale of this action is July 
I, 1989. 

1 he public hearing will be conducted at 9:00 
a.m. on April 19, 1989 at North Carolina Real 
Estate Commission, 1313 Navaho Drive. Raleigh, 
North Carolina 27609. 



Cc 



ommcnl Procedures: Comments regarding the 
rules may be made orally or submitted in writing 
at the public hearing. Written comments not 
submitted at the hearing may be delivered to the 
North Carolina Real Estate Commission, Post 
Office Box 17100, Raleigh, NC 27619. so as to 
be received by the hearing date. 

CHAPTER 58 - REAL ESTATE COMMISSION 

SUBCHAPTER 58A - REAL ESTATE BROKERS 
AND SALESMEN 



ATTACHMENT II SUBMISSION TOR 
NOTICE EOR AMENDMENT OE RL LPS 

The cited mles were amended February 1 , 1989, 
but the Office of Administrative Hearings has 
questioned whether the Administrative Rules Re- 
view Commission, which allowed the Real Estate 
Commission to amend them, in fact had the au- 
thority to do so under the G.S. 150-59(c) review 
procedure. Therefore, to avoid any challenge, 
OAII suggested we amend the rules through the 
formal ride making procedures required by Article 
2 of Chapter I SOB. 

The rules are: 



NORTH CAROLINA REGISTER 



1062 



PROPOSED RULES 



21 NCAC 58A .0101, .0108, .0110 - .0/11, 
.0301, .0506. .0601, .0805, .1003, .1005 - .1006, 
.1/04 - .1105, .1301. .1305, .1307, .1314, .1317, 
.1402 - .1404. 



21 S'CAC 5SB .0101, .0/04. .0201 
.0501, .0602. 



.0202, 



SECTION .0100 - GENERAL BROKERAGE 

.0101 DISPLAY OF LICENSE 

(a) The license of a brokcr-in-charge and the 
license of each broker and salesman engaged in 
real estate activities at the office of the broker- 
in-charge shall be prominently displayed at such 
office. 

(b) The annual license renewal pocket card is- 
sued by the commission to each salesman or 
broker, including corporate brokers shall be re- 
tained by the licensee as evidence of licensure. 

Statutory' Authority G.S. 93A-3(c). 

.0108 RETENTION OF RECORDS 

Brokers shall retain records of all transactions 
conducted in such capacity for a period of three 
years. Such records shall include contracts of 
sale, written leases, listing contracts, options, of- 
fers to purchase, trust or escrow records, earnest 
money receipts, closing statements and any other 
records pertaining to real estate transactions. All 
such records shall be made available for in- 
spection by the commission or its authorized re- 
presentatives without prior notice. 

Statutory Authority G.S. 93A-3(c). 

.0110 BROKFR-IN-CIIARGE 

(a) There shall be designated for each firm and 
branch office thereof one broker who shall as- 
sume responsibility at such office for: 

(1) the proper display of license certificates of 
the brokers and salesmen associated with 
or engaged on behalf of the firm at such 
office, and ascertaining whether each li- 
censee emploved at the office has com- 
plied with Rules .0503 and .0506 of this 
Subchapter; 

(2) the proper notification to the commission 
of any change of business address or trade 
name of the firm and the registration of 
any assumed business name adopted by 
the firm for its use; 

(3) the proper conduct of advertising by or in 
the name of the firm at such office; 

(4) the proper maintenance at such office of 
the trust or escrow account of the firm 
and the records pertaining thereto; 



(5) the proper retention and maintenance of 
records relating to transactions conducted 
by or on behalf of the firm at such office; 
and 

(6) the proper supervision of salesmen asso- 
ciated with or engaged on behalf of the 
firm at such office in accordance with the 
requirements of Rule .0506 of this Sub- 
chapter. 

No broker shall be broker-in-charge of more than 
one office or branch office. 

(b) When used in this Rule, the term: 

(1) "Branch Office" means any office in addi- 
tion to the principal office of a broker 
which is operated in connection with the 
broker's real estate business; and 

(2) "Office'' means any place of business 
where acts are performed for which a real 
estate license is required. 

(c) Each broker-in-charge shall notify the 
commission in writing of any change in his status 
as broker-in-charge within ten days following the 
change. 

Statutory Authority G.S. 93A-3(c). 

.0111 DRAFTING LEGAL INSTRUMENTS 

(a) A broker or salesman acting as an agent in 
a real estate transaction shall not draft offers, sa- 
les contracts, options, leases, promissory notes, 
deeds, deeds of trust or other legal instruments 
by which the rights of others are secured; how- 
ever, a broker or salesman may complete pre- 
pnntcd offer, option contract, sales contract and 
lease forms in real estate transactions when au- 
thorized or directed to do so by the parties. 

(b) A broker or salesman may use electronic, 
computer, or word processing equipment to store 
preprinted offer and sales contract forms which 
comply with Rule .0112, as well as preprinted 
option and lease forms, and may use such 
equipment to complete and print offer, contract 
and lease documents. Provided, however, a 
broker or salesman may not alter the form before 
it is presented to the parties. If the parties pro- 
pose to delete or change any word or provision 
in the form, the form must be marked to indicate 
the change or deletion made. The language of 
the form shall not be modified, rewritten, or 
changed by the broker or salesman or their cler- 
ical employees unless directed to do so by the 
parties. 

(c) Nothing contained in this rule shall be 
construed to prohibit a broker or salesman from 
making written notes, memoranda or corre- 
spondence recording the negotiations of the par- 
ties to a real estate transaction when such notes, 
memoranda or correspondence do not them- 



1063 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



selves constitute binding agreements or other le- 
gal instruments. 

Statutory Authority G.S. 93A-3(c). 

SECTION .0300 - APPLICATION FOR LICENSE 

.0301 FORM 

Persons who wish to file applications for a bro- 
ker or salesman license can obtain the required 
form upon request to the commission. In gen- 
eral, the form calls for information such as the 
applicant's name and address, a recent passport 
size photograph of the applicant, places of resi- 
dence, education, prior real estate licenses, and 
such other information necessary to identify the 
applicant and determine his qualifications and 
fitness for licensure. 

Statutory Authority G.S. 93A-3(c); 

93A-4(a),(b),(d); 150B-II. 

SECTION .0500 - LICENSING 

.0506 SALESMAN TO BE SUPERVISED 
BY BROKER 

(a) A salesman's license is valid only while he 
is supervised by the brokcr-in-charge of the firm 
or office where the salesman is engaged in the 
business of a salesman. A salesman shall not act 
as or hold himself out to be a broker, nor shall 
he act as a salesman outside the supervision of 
the brokcr-in-charge of the firm or office where 
the salesman is employed. 

(b) Upon a salesman's association with a real 
estate broker or brokerage firm, the brokcr-in- 
charge of the office where the salesman will be 
engaged in the business of a real estate salesman 
shall immediately file with the commission a 
form prescribed by the commission containing 
the salesman's name and residence address, the 
name of the brokcr-in-charge, the name of the 
firm and the address of the office with which the 
broker-in-charge is associated, a statement from 
the broker-in-charge certifying that he will su- 
pervise the salesman in the performance of all 
acts for which a license is required, the date that 
the brokcr-in-charge assumes responsibility for 
such supervision, and the signatures of the sales- 
man and brokcr-in-charge. Upon mailing or de- 
livering the properly completed form to the 
commission by the broker-in-charge, the sales- 
man named in the form may engage in the busi- 
ness of a salesman under the supervision of the 
broker-in-charge pending acknowledgement from 
the commission of receipt of such form; however, 
in the event such written acknowledgement from 
the commission is not received by the broker-in- 
charge within thirty calendar days following the 



date shown in the form, the brokcr-in-charge 
shall cause the salesman to immediately cease 
any further activity for which a real estate license 
is required pending receipt of the written ac- 
knowledgement from the commission. 

(c) A broker-in-charge who certifies to the 
commission that he will supervise a licensed sa- 
lesman shall actively and personally supervise the 
salesman in a manner which would reasonably 
assure that the salesman performs all acts for 
which a real estate license is required in accord- 
ance with the real estate license law and com- 
mission rules. A supervising broker who fails to 
supervise a salesman as prescribed in this Rule 
may be subject to disciplinary action by the 
commission. 

(d) A broker-in-charge shall, upon termination 
of his supervision of a salesman, immediately 
notify the commission in writing setting forth the 
date of termination. 

Statutory Authority G.S. 93A-2(b). 

SECTION .0600 - ADMINISTRATIVE 
HEARINGS 

.0601 FORM/PREP//COMPLAINTS/MOTIONS 
/OTHER PLEADINGS/CONTESTED 
CASES 

(a) There shall be no specific form required for 
complaints. To be sufficient, a complaint shall 
be in writing, identify the respondent licensee and 
shall reasonably apprise the commission of the 
facts which form the basis of the complaint. 

(b) When investigating a complaint, the scope 
of the commission's investigation shall not be 
limited only to matters alleged in the complaint. 
In addition, a person making a complaint to the 
commission may change his complaint by sub- 
mitting the changes to the commission in writing. 

(c) When a complaint is not verified by the 
person making the complaint, the commission, 
in its discretion, may consider the complaint on 
its own motion. 

(d) There shall be no specific forms required for 
motions or other pleadings relating to contested 
cases before the commission, except they shall 
be in writing. To be sufficient, the document 
must reasonably apprise the commission of the 
matters it alleges or answers. To be considered 
by the commission, every answer, motion, re- 
quest or other pleading must be submitted to the 
commission in writing or made during the hear- 
ing as a matter of record. 

(e) Hearings in contested cases before the 
commission shall be conducted according to the 
provisions of Chapter 150B of the General Stat- 
utes of North Carolina. 



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PROPOSED RULES 



Statutory Authority G.S. 93A-6(a); l50B-38(h). 
SECTION .0800 - RULE MAKING 

.0805 RECORD OF PROCEEDINGS 

A record of rule making proceedings will be 
available for public inspection during regular of- 
fice hours at the commission's office. This re- 
cord will contain the original petition, if any, the 
notice, all written memoranda and information 
submitted, and a record or summary of oral pre- 
sentations, if any, and, in any case where a pro- 
posal was rejected, the reason therefor. 

Statutory Authority G.S. 93A-3(c); 150B-12. 

SECTION .1000 - SCHOOLS 

.1003 CRITERIA FOR APPROVAL 

(a) After due investigation and consideration, 
approval shall be granted to a school when it is 
shown to the satisfaction of the commission that: 

(1) The school has submitted all information 
required by the commission; 

(2) The school is a North Carolina post-sec- 
ondary institution licensed or approved 
by the State Board of Community Col- 
leges or the Board of Governors of the 
University of North Carolina: and 

(3) The courses to be conducted comply with 
the standards described in Section .1100 
of this Subchapter. 

(b) A North Carolina college or university 
which grants a baccalaureate or higher degree 
with a major or minor in the field of real estate 
or a closely related field may request that appro- 
priate real estate and related courses in its curric- 
ulum be approved by the commission as 
equivalent to the real estate prc-liccnsing educa- 
tion program prescribed by G.S. 93A-4(a). The 
commission may, in its discretion, grant such 
approval and may exempt such school from 
compliance with the course standards set forth in 
Section .1 100 of this Subchapter. 

Statutory Authority G.S. 93A-4(a),(d). 

.1005 WITHDRAWAL OR DENIAL OF 
APPROVAL 

(a) The commission may deny or withdraw 
approval of any school upon finding that such 
school has: 

( 1) refused or failed to comply with any of the 
provisions of Sections .1000 or .1100 of 
this Subchapter; 

(2) obtained or used, or attempted to obtain 
or use, in any manner or form, North 
Carolina real estate licensing examination 
questions; or 



(3) compiled a salesman or broker licensing 
examination performance record for any 
annual reporting period which is substan- 
tially below the performance record of all 
first-time examination candidates. 
(b) In all proceedings to withdraw or deny ap- 
proval, the provisions of Chapter 150B of the 
General Statutes shall be applicable. 

Statutory Authority G.S. 93A-4(a),(d). 

.1006 PROGRAM CHANGES 

Approved schools must obtain advance ap- 
proval from the commission for any changes to 
be made with respect to program structuring, 
course content, course completion standards, in- 
structors, textbooks or locations where courses 
are to be conducted. Requests for approval of 
such changes must be in writing. 

Statutory Authority G.S. 93A-4(a).(d). 

SECTION .1 100 - REAL ESTATE 
PRE-LICENSING COLRSES 

.1104 COLRSL CONTENT 

(a) All courses shall consist of instruction in 
the subject areas and at the competency and in- 
structional levels prescribed in the commission's 
course syllabi. 

(b) Courses may also include coverage of ad- 
ditional related subject areas not prescribed by 
the commission; however, any such course must 
provide additional class time above the minimum 
requirement of 30 classroom hours for the cov- 
erage of such additional subject areas. 

(c) Classroom time and instructional materials 
may be utilized for instructional purposes only 
and not for promoting the interests of or recruit- 
ing employees for any particular real estate bro- 
ker, brokerage firm or franchise. 

Statutory Authority G.S. 93A-4(a).(d). 

.1 105 COURSE COMPLETION STANDARDS 

(a) Academic standards for course completion 
must reasonably assure that students receiving a 
passing grade possess adequate knowledge and 
understanding of the subject areas prescribed for 
the course. A student's grade must be based 
solely on his or her performance on examinations 
and on graded homework and classwork assign- 
ments. In any course for which college credit or 
continuing education units (CCUs) may be 
awarded, the passing grade for the purpose of 
certifying course completion to the commission 
must be the same as that grade which is consid- 
ered passing for the purpose of awarding college 
or CEU credit. 



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PROPOSED RULES 



(b) Course completion requirements must in- 
clude a comprehensive final course examination 
which covers all prescribed subject areas and 
which accounts for at least 50 percent of a stu- 
dent's grade for the course. Pinal course exam- 
inations arc subject to review and approval by 
the commission. Take-home or open-book final 
course examinations are prohibited. Schools 
may, within 90 days of the course ending date, 
allow a student one opportunity to make up any 
missed course examination or to retake any failed 
course examination without repeating the course. 

(c) The minimum attendance required for sat- 
isfactory course completion is 80 percent of all 
scheduled classroom hours for the course. 

Statutory Authority G.S. 93A-4(a),(d). 

section .1300 - private real estate 
schools 

.1301 applicability 

This Section applies to all private real estate 
schools, as defined in G.S. 93A-32. 

Statutory Authority G.S. 93A-4(a),(d); 93.4-33. 

.1305 ADDITIONAL COURSE OFFERINGS 

Schools may offer real estate courses in addition 
to those described in Section .1100 of this Sub- 
chapter provided that references to such courses 
are not made or published in a manner which 
implies that such courses arc sanctioned by the 
commission. 

Statutory Authority G.S. 93A-4(a).(d); 93A-33. 

.1307 FACILITIES AND EQUIPMENT 

(a) The applicant for a license to operate a 
private real estate school shall cither own the 
school facilities or possess a lease or other agree- 
ment for the use of facilities for school purposes 
which will assure the availability of adequate fa- 
cilities until the next June 30 following license 
issuance or renewal. If facilities are to be leased 
or rented, the applicant need not execute such 
lease or other agreement until notification is re- 
ceived that the school application has been ap- 
proved; however, such lease or agreement must 
be executed and a copy provided to the commis- 
sion prior to issuance of a license. 

(b) All school facilities and equipment shall 
have been found by appropriate local building, 
health and fire inspectors to be in compliance 
with all applicable local, state and federal laws 
and regulations regarding safety and sanitation. 

(c) Classrooms shall be of sufficient size to ac- 
commodate comfortably all students enrolled in 



a course, shall have adequate light, heat, cooling 
and ventilation and shall be free of distractions 
which would disrupt class sessions. 

(d) Classrooms shall contain, at a minimum, a 
chalkboard and student desks or worktablcs suf- 
ficient to accommodate all students enrolled in a 
course. 

(e) The applicant must either utilize school fa- 
cilities that are designed and equipped in such a 
manner as will assure full and free access to and 
use of the facilities by handicapped persons as 
required by G.S. 168-2 or must certify to the 
commission that school personnel will be avail- 
able before, during and after scheduled classes to 
assist any handicapped person as may be neces- 
sary. 

Statutory Authority G.S. 93A-4(a),(d); 93A-33. 

.1314 ADVERTISING AND RECRUITMENT 
ACTIVITIES 

(a) A school may utilize for advertising or 
promotional purposes licensing examination 
performance data provided to the school by the 
commission, provided that any disclosure of such 
data by the school must be accurate and must: 

(1) be limited to the annual examination per- 
formance data for the particular school 
and for all examination candidates in the 
state; 

(2) include the type of examination, the time 
period covered, the number of first-time 
candidates examined, and cither the num- 
ber or percentage of first-time candidates 
passing the examination; and 

(3) be presented in a manner that is not mis- 
leading. 

(b) Schools shall not make or publish, by way 
of advertising or otherwise, any false or mislead- 
ing statement regarding employment opportu- 
nities which may be available as a result of 
successful completion of a course offered by that 
school or acquisition of a real estate broker or 
salesman license. 

(c) Schools shall not use endorsements or rec- 
ommendations of any person or organization, by 
way of advertising or otherwise, unless such per- 
son or organization has consented in writing to 
the use of the endorsement or recommendation 
and is not compensated for such use. 

Statutory Authority G.S. 93A-4(a),(d); 93A-33. 

.1317 RENEWAL OF LICENSES 

Private real estate school licenses expire on the 
next June 30 following the date of issuance. In 
order to assure continuous licensure, applications 
for license renewal, accompanied by the pre- 



NORTH CAROLINA REGISTER 



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PROPOSED RULES 



scribed renewal fee, should be filed wilh the 
commission annually on or before June 1. 

Statutory! Authority G.S. 93A-4(a),(d); 93A-33. 

SECTION .1400 - REAL ESTATE RECOVERY 
FUND 

.1402 MULTIPLE CLAIMS 

(a) If at any time the commission has notice 
of more than one application or potential claim 
for payment from the Real Estate Recovery 
Fund arising out of the conduct of a single li- 
censee, the commission may, in its discretion, 
direct that all applications filed before a date de- 
termined by the commission be consolidated for 
hearing and payment. 

(b) When consolidation is appropriate, the 
commission shall issue to the licensee and the 
applicants and potential claimants an Order of 
Consolidation setting forth the deadline for filing 
all applications to be consolidated. Upon the 
passing of the deadline, the commission may, in 
its discretion, cither extend the deadline or issue 
to the licensee and all applicants a notice of the 
time, date and place set for the hearing on the 
consolidated applications. 

(c) Claims for which the commission has re- 
ceived no notice under G.S. 93A- 17(a)(2) or for 
which no application has been filed prior to the 
deadline set forth in the Order of Consolidation 
shall not be considered by the commission until 
after the completion of all proceedings relating to 
the consolidated applications and payment ther- 
eon. 

Statutory Authority G.S. 93A-16(d); 93A-I7; 
93.4-20. 

.1403 NOTICE OF HEARING: ORDER/PAYT 

FROM/REAL ESTATE RECOVERY FUND 

(a) The commission shall give notice ot the 
time, place and date of a hearing on a claim for 
payment from the Real Estate Recovery Fund to 
any applicant and the licensee. 

(b) After conducting a hearing, the commission 
shall issue an order either authorizing payment 
or denying the claim, in whole or in part. This 
order shall be served upon the licensee and any 
applicant. 

(c) The existence of subsequent notices of po- 
tential claims or subsequent applications shall 
not be considered by the commission in the is- 
suance of an Order for Payment in those cases 
where the award is allowable but must be re- 
duced pursuant to the provisions of G.S. 93A-21. 

Statutory Authority G.S. 93 A- 16(d); 93A-20. 



.1404 EXHAUSTED LIABILITY LIMITS 

Applications for payment from the Real Estate 
Recovery Fund received or considered by the 
commission after the liability of the Recovery 
Fund as described in G.S. 93A-21 has been ex- 
hausted shall be dismissed. 

Statutory Authority G.S. 93A-3(c); 93A-21. 

SUBCHAPTER 58B - TIME SHARES 

SEC! ION .0100 -TIME SHARE PROJECT 
REGISTRATION 

.0101 APPLICATION FOR REGISTRATION 

(a) Every application for time share project re- 
gistration shall be filed at the commission's of- 
fices upon a form prescribed by the commission. 
Every such application shall contain or have ap- 
pended thereto: 

(1) information concerning the developer's ti- 
tle or right to use the real property on 
which the project is located, including a 
title opinion provided by an independent 
attorney performed within 30 days pre- 
ceding the date of application; 

(2) information concerning owners of time 
shares at the project other than the devel- 
oper; 

(3) a description of the improvements and 
amenities located at the project, including 
a description of the number and type of 
time share units; 

(4) a description of the time share estate to 
be sold or conveyed to purchasers; 

(5) information concerning the developer and 
his financial ability to develop the project, 
and information concerning the marketing 
and managing entities and their relation- 
ship to the developer; 

(6) the developer's name and address, past real 
estate development experience and such 
other information necessary to determine 
the moral character of those selling and 
managing the project; 

(7) copies of all documents to be distributed 
to time share purchasers at the point of 
sale or immediately thereafter; and 

(8) such information as may be required by 
G.S. 93A-52. 

The form shall also describe the standards for its 
proper completion and submission. 

(b) In accordance with G.S. 93A-52, an appli- 
cation for time share registration shall be consid- 
ered to be properly completed when it is wholly 
and accurately filled out and when all required 
documents are appended to it and appear to be 
in compliance with the provisions of the Time 
Share Act, and, where the project is a condo- 



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PROPOSED RULES 



minium, the Condominium Act or Unit Owner- 
ship Act. 



Statutory Authority G.S. 47A; 
93A-52(a). 



47C; 93A-5I; 



.0104 AMENDMENTS TO TIME SHARE 
PROJECT REGISTRATION 

(a) A developer shall notify the commission 
immediately, but in no event later than 15 days, 
after any material change in the information 
contained in the time share project registration. 

(b) A material change shall be any change 
which reflects a difference in: 

(1) the nature, quality or availability of the 
purchaser's ownership or right to use his 
time share; 

(2) the nature, quality or availability of any 
amenity at the project; 

(3) the developer's title, control or right to use 
the real property on which the project is 
located; 

(4) the information concerning the developer, 
the managing or marketing entities, or 
persons connected therewith, previously 
filed with the commission; 

(5) the purchaser's right to exchange his unit; 
however, a change in the information re- 
quired to be disclosed to a purchaser by 
G.S. 93A-48 shall not be a material 
change; or 

(6) the project or time share as originally reg- 
istered which would be significant to a 
reasonable purchaser. 

(c) Amendments to time share project regis- 
trations shall be submitted in the form of substi- 
tute pages for material previously filed with the 
commission. New or changed information shall 
be conspicuously indicated by underlining in red 
ink. Every amendment submitted shall be ac- 
companied by a cover letter signed by the devel- 
oper or his attorney containing a summary of the 
amendment and a statement of reasons for which 
the amendment has been made. The cover letter 
shall state: 

(1) the name and address of the project and 
its registration number; 

(2) the name and address of the developer; 

(3) the document or documents to which the 
amendment applies; 

(4) whether or not the changes represented 
by the amendment required the assent of 
the time share owners and, if so, how the 
assent of the time share owners was 
properly obtained; and 

(5) the recording reference in the office of the 
register of deeds for the changes, if appli- 
cable. 



Developers of multiple projects must submit se- 
parate amendments and cover letters for each 
project for which amendments are submitted. 

(d) The commission may, in its discretion, re- 
quire the developer to file a new time share pro- 
ject registration application in the place of an 
amendment form. Such refiling shall be without 
fee. 

Statutory Authority G.S. 93A-5I. 

SECTION .0200 - PUBLIC OFFERING 
STATEMENT 

.0201 GENERAL PROVISIONS 

(a) Information contained in a public offering 
statement shall be accurate on the day it is sup- 
plied to a purchaser. Before any public offering 
statement is supplied to a purchaser, the devel- 
oper shall file a copy of the statement with the 
commission. 

(b) In addition to the information required to 
be contained in a public offering statement by 
G.S. 93A-44, every public offering statement 
shall disclose to the purchaser of a time share 
complete and accurate information concerning: 

(1) the real property type of the time share 
program, whether tenancy-in-common, 
condominium or other, and a description 
of the estate the purchaser will own, the 
term of that estate and the remainder in- 
terest, if any, once the term has expired; 

(2) the document creating the time share 
program, a statement that it is the docu- 
ment which governs the program and a 
reference to the location where the pur- 
chaser may obtain or examine a copy of 
the document; 

(3) whether or not the property is being 
converted to a time share from some other 
use and, if so, a statement to that effect 
and disclosure of the prior use of the pro- 
perty; 

(4) the maximum number of time shares in 
the project, each recreational and other 
commonly used facility offered, and who 
or what will own each facility, if the pro- 
ject is to be completed in one develop- 
ment or construction phase; 

(5) if the project is planned in phased con- 
struction or development, the complete 
plan of phased offerings, including the 
maximum number of time shares which 
may be in the project, each recreational 
and other commonly used facility, who 
or what will own each facility, and the 
developer's representations regarding his 
commitment to build out the project; 



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PROPOSED RULES 



(6) the association of owners or other entity 
which will ultimately be responsible for 
managing the time share program, the first 
date or event when the entity will convene 
or commence to conduct business, each 
owner's voting right, if any, and whether 
and for how long the developer, as time 
share owner, will control the entity; 

(7) the location where owners may inspect 
the articles and bylaws of the owners as- 
sociation, or other organizational docu- 
ments of the entity and the books and 
records it produces; 

(8) whether the entity has lien rights against 
time share owners for failure to pay as- 
sessments; 

(9) whether or not the developer has entered 
into a management contract on behalf of 
the managing entity, the extent to which 
the managing entity's powers are deleg- 
ated to the manager and the location 
where a copy of the management contract 
may be examined; 

(10 1 whether or not the developer will pay 
assessments for time shares which it owns 
and a statement that the amount of as- 
sessments due the managing entity from 
owners will change over time, as circum- 
stances may change; and 
(11) whether or not the developer sponsors 
or will sponsor a rental or resale program 
and, if so, a summary of the program or 
programs. 
(c) The inclusion of false or misleading state- 
ments in a public offering statement shall be 
grounds for disciplinary action by the commis- 
sion. 

Statutory Authority G.S. 93A-44(8); 93A-5I. 

.0202 PUBLIC OFFERING STATEMENT 
SUMMARY 

Every public offering statement shall contain a 
one page cover prescribed by the commission 
and completed by the developer entitled Public 
Offering Statement Summary. The Public Of- 
fering Statement Summary shall read as follows: 



PUBLIC OFFERING STAT 
SUMMARY 



NAME OF PROJECT 



Ml NT 



NAME AND REAL ESTATE LICENSE 
NUMBER OF SALESMAN; 



This Public Offering Statement contains infor- 
mation which deserves your careful study, as you 
decide whether or not to purchase a time share. 

The Public Offering Statement includes general 
information about the real estate type, the term, 
and the size of this time share project. It also 
includes a general description of the recreational 
and other facilities existing now, or to be pro- 
vided in the future. The Public Offering State- 
ment will tell you how maintenance and 
management of the project will be provided and 
how the costs of these services will be charged to 
purchasers. From the Public Offering Statement, 
you will also learn how the project will be gov- 
erned and whether purchasers will have a voice 
in that government. You will also learn that a 
time share instrument will be recorded to protect 
your real estate interest in your time share. 

The Public Offering Statement contains impor- 
tant information, but is not a substitute for the 
detailed information contained in the contract of 
purchase and the legal documents which create 
and affect the time share program at this project. 

Please study this Public Offering Statement 
carefully. Satisfy yourself that any questions you 
may have are answered before you decide to 
purchase. If a salesman or other representative 
of the developer has made a representation which 
concerns you, and you cannot find that repre- 
sentation in writing, ask that it be pointed out to 
you. 



NOTICE 



UNDER NORTH CAROLINA LAW, YOU 
MAY CANCEL YOUR TIME SHARE PUR- 
CHASE WITHOUT PENALTY WITHIN 
FIVE DAYS AFTER SIGNING YOUR 
CONTRACT. TO CANCEL YOUR TIME 
SHARE PURCHASE, YOU MUSI MAIL OR 
HAND DELIVER WRITTEN NOTICE OF 
YOUR DESIRE TO CANCEL YOUR PUR- 
CHASE TO (name and address of project). IF 
YOU CHOOSE TO MAIL YOUR CANCEL- 
LATION NOTICE, THE NOR III CARO- 
I INA REAL ESTATE COMMISSION 
RECOMMENDS THAT YOU USE REGIS- 
TERED OR CERTIFIED MAIL AND THAT 
YOU RETAIN YOUR POSTAL RECEIPT 
AS PROOF OF THE DATE YOUR NOTICE 
WAS M All ID. UPON CANCELLATION. 
AI I PAYMENTS WILL BE REFUNDED 
TO YOU. 

Statutory Authority G.S. 93A-44: 93A-5J. 



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PROPOSED RULES 



SECTION .0500 -HANDLING AND 
ACCOUNTING OF FUNDS 

.0501 TIME SHARK TRUST FUNDS 

(a) Except as otherwise permitted by G.S. 
93A-45(c), all monies received by a time share 
developer or a time share salesman in connection 
with a time share sales transaction shall be de- 
posited into a trust or escrow account not later 
than three banking days following receipt and 
shall remain in such account for ten days from 
the date of sale or until cancellation by the pur- 
chaser, whichever first occurs. 

(b) All monies received by a person licensed 
as a salesman in connection with a time share 
transaction shall be delivered immediately to his 
project broker. 

(c) When a time share purchaser timely cancels 
his time share purchase, the developer shall re- 
fund to the purchaser all monies paid by the 
purchaser in connection with the purchase. The 
refund shall be made no later than 30 days fol- 
lowing the date of execution of the contract. 
Amounts paid by the purchaser with a bank card 
or a credit card shall be refunded by a cash pay- 
ment or by issuing a credit voucher to the pur- 
chaser within the 30-day period. 

(d) Every project broker shall obtain and keep 
a written representation from the developer as to 
whether or not lien-free or lien-subordinated time 
share instruments can be recorded within 45 days 
of the purchaser's execution of the time share 
purchase agreement. When a lien-free or lien- 
subordinated instrument cannot be recorded 
within said time period, on the business day fol- 
lowing the expiration of the ten day time share 
payment escrow period, a project broker shall 
transfer from his trust account all purchase de- 
posit funds or other payments received from a 
purchaser who has not cancelled his purchase 
agreement, to the independent escrow agent in a 
check made payable to the independent escrow 
agent. Alternatively, the check may be made 
payable to the developer with a restrictive en- 
dorsement placed on the back of the check pro- 
viding "For deposit to the account of the 
independent escrow agent for the (name of time 
share project) only." 

Statutory Authority G.S. 93A-42(c); 93A-5I. 

SECTION .0600 - PROJECT BROKER 

.0602 DUTIES OF THE PROJECT BROKER 

(a) The broker designated by the developer of 
a time share project to be project broker shall 
assume responsibility for: 

(1) The display of the time share project cer- 
tificate registration and the license certif- 



icates of the real estate salesmen and 
brokers associated with or engaged on 
behalf of the developer at the project; 

(2) The determination of whether each licen- 
see employed has complied with Rules 
.0503 and .0506 of Subchapter 58A; 

(3) The notification to the commission of any 
change in the identity or address of the 
project or in the identity or address of the 
developer or marketing or managing enti- 
ties at the project; 

(4) The deposit and maintenance of time 
share purchase or rental monies in a trust 
or escrow account until proper disburse- 
ment is made; and 

(5) The proper maintenance of accurate re- 
cords at the project including all records 
relating to the handling of trust monies at 
the project, records relating to time share 
sales and rental transactions and the pro- 
ject registration and renewal. 

(b) The project broker shall review all con- 
tracts, public offering statements and other doc- 
uments distributed to the purchasers of time 
shares at the project to ensure that the docu- 
ments comport with the requirements of the 
Time Share Act and the rules adopted by the 
commission, and to ensure that true and accurate 
documents have been given to the purchasers. 

(c) The project broker shall not permit time 
share sales to be conducted by any person not 
licensed as a broker or salesman, and shall not 
delegate or assign his supervisory responsibilities 
to any other person, nor accept control of his 
supervisory responsibilities by any other person. 

(d) The project broker shall notify the com- 
mission in writing of any change in his status as 
project broker within ten days following the 
change. 

Statutory Authority G.S. 93A-51; 93A-58(c). 

SUBCHAPTER 58A - REAL ESTATE BROKERS 
AND SALESMEN 



ATTACHMENT II TO SUBMISSION TOR 
NOTICE TOR AMENDMENT OT RULES 

The cited rules were amended February I , I9S9, 
but the Office of Administrative Hearings has 
questioned whether the Administrative Rules Re- 
view Commission, which allowed the Real Estate 
Commission to amend them, in fact had the au- 
thority to do so under the G.S. I50-59(c) review 
procedure. Therefore, to avoid any challenge, 
OAH suggested we amend the rules through the 



NORTH CAROLINA REGISTER 



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PROPOSED RULES 



formal rule making procedures required by Article 
2 of Chapter /SOB. 

We additionally wish to make additional 
amendments. 

The rules are: 
21 NCAC58A .0107, .0112. 

SECTION .0100 - GENERAL BROKERAGE 

.0107 HANDLING AND ACCOUNTING OF 
FUNDS 

(a) All monies received by a broker acting in 
his fiduciary capacity shall be deposited in a trust 
or escrow account not later than three banking 
days following receipt of such monies except that 
earnest money deposits received on offers to 
purchase real estate and tenant security deposits 
received in connection with real estate leases shall 
be deposited in a trust or escrow account not la- 
ter than three banking days following acceptance 
of such offer to purchase or lease; the date of ac- 
ceptance of such offer to purchase or lease shall 
be set forth in the purchase or lease agreement. 
All monies received by a salesman shall be deliv- 
ered immediately to the broker by whom he is 
employed. 

(b) In the event monies received by a broker 
while acting in a fiduciary capacity arc deposited 
in a trust or escrow account which bears interest, 
such broker shall first secure from all parties 
having an interest in the monies written authori- 
zation for the deposit of such monies in an in- 
terest-bearing account. Such authorization shall 
specify how and to whom the interest will be 
disbursed, and, if contained in an offer, contract, 
lease, or other transaction instrument, such au- 
thorization shall be set forth in a clear and con- 
spicuous manner which shall distinguish it from 
other provisions of the instrument. 

(c) Closing statements shall be furnished to the 
buyer and the seller in the transaction at the 
closing or not more than five days after closing. 

(d) Trust or escrow accounts shall be so desig- 
nated by the bank or savings and loan association 
in which the account is located, and all deposit 
tickets and checks drawn on said account shall 
bear the words "Trust Account" or "Escrow 
Account". 

(e) A broker shall maintain and retain records 
sufficient to verify the accuracy and proper use 
of his trust or escrow accounts, including, but not 
limited to: 

(1) bank statements; 

(2) cancelled checks which shall be referenced 
to the corresponding transaction or owner 
ledger sheet; 

(3) deposit tickets and, if necessary, a supple- 
mental worksheet for each deposit ticket 



identifying the property and the parties to 
each transaction for which funds are de- 
posited; 

(4) a separate ledger sheet for each sales tran- 
saction and for each owner of property 
managed by the broker identifying the 
property, the parties to the transaction, 
the amount, date, and purpose of the de- 
posits and from whom received, the 
amount, date, check number, and purpose 
of disbursements and to whom paid, and 
the running balance of funds on deposit 
for the particular transaction or owner of 
property; 

(5) a journal or check stubs identifying each 
transaction and showing a running bal- 
ance for all funds in the account; 

(6) copies of contracts, leases and manage- 
ment agreements; 

(7) closing statements and property manage- 
ment statements; and 

(8) any other documents necessary and suffi- 
cient to verify and explain record entries. 

A broker shall maintain records of all receipts 
and disbursements of trust or escrow monies in 
such a manner as to create a clear audit trail from 
deposit tickets and cancelled checks to check 
stubs or journals and to the ledger sheets. A 
broker must reconcile ledger sheets and his jour- 
nals or check stubs to the trust or escrow account 
bank statements on a monthly basis. A broker 
shall create a worksheet for each such monthly 
reconciliation and retain it as part of his records. 

(f) ATI trust or escrow account records shall be 
made available for inspection by the commission 
or its authorized representatives in accordance 
with Rule 58A .0108. 

(g) In the event of a dispute between the seller 
and buyer or landlord and tenant over the return 
or forfeiture of any deposit other than a residen- 
tial tenant security deposit held by a broker, the 
broker shall retain said deposit in his trust or es- 
crow account until he has obtained a written re- 
lease from the parties consenting to its 
disposition or until disbursement is ordered by a 
court of competent jurisdiction. 

(h) A broker or salesman shall not disburse 
prior to closing anv earnest money in his pos- 
session for any services performed in connection 
with a real estate transaction without the written 
consent of the parties. 

Statutory Authority G.S. 93A-3(cJ. 

.0112 OFFERS AND SALES CONTRACTS 

(a) A broker or salesman acting as an agent in 
a real estate transaction shall not use a preprinted 
offer or sales contract form unless the form ade- 



1071 



XORTH CAROLINA REGISTER 



PROPOSED RULES 



quately describes or specifically requires the entry 
of the following information: 

(1) the names of the buyer and seller; 

(2) a legal description of the real property 
sufficient to identify and distinguish it 
from all other property; 

(3) an itemization of any personal property 
to be included in the transaction; 

(4) the purchase price and manner of pay- 
ment; 

(5) any portion of the purchase price that is 
to be paid by a promissory note, including 
the amount, interest rate, payment terms, 
whether or not the note is to be secured, 
and other material terms; 

(6) any portion of the purchase price that is 
to be paid by the assumption of an exist- 
ing loan, including the amount of such 
loan, costs to be paid by the buyer or sel- 
ler, the interest rate and number of dis- 
count points and a condition that the 
buyer must be able to qualify for the as- 
sumption of the loan and must make ev- 
ery reasonable effort to qualify for the 
assumption of the loan; 

(7) the amount of earnest money, if any, the 
method of payment, the name of the bro- 
ker or firm that will serve as escrow agent, 
an acknowledgment of earnest money re- 
ceipt by the escrow agent, and the criteria 
for determining disposition of the earnest 
money, including disputed earnest money, 
consistent with commission Rule .0107 
of this Subchapter; 

(8) any loan that must be obtained by the 
buyer as a condition of the contract, in- 
cluding the amount and type of loan, in- 
terest rate and number of discount points, 
loan term, loan commitment date, and 
who shall pay loan closing costs; and a 
condition that the buyer shall make every 
reasonable effort to obtain the loan; 

(9) a general statement of the buyer's in- 
tended use of the property and a condition 
that such use must not be prohibited by 
private restriction or governmental regu- 
lation; 

(10) the amount and purpose of any special 
assessment to which the property is sub- 
ject and the responsibility of the parties 
for any unpaid charges; 

(11) the date for closing and transfer of pos- 
session; 

( 1 2) the signatures of the buyer and seller; 

(13) the date of offer and acceptance; 

(14) a provision that title to the property must 
be delivered at closing by general warranty 
deed and must be fee simple marketable 



title, free of all encumbrances except ad 
valorem taxes for the current year, utility 
easements, and any other encumbrances 
specifically approved by the buyer, or a 
provision otherwise describing the estate 
to be conveyed, and encumbrances, and 
the form of conveyance; 

(15) the items to be prorated or adjusted at 
closing; 

(16) who shall pay closing expenses; 

(17) the buyer's right to inspect the property 
prior to closing and who shall pay for re- 
pairs and improvements, if any; and 

(18) a provision that the property shall at 
closing be in substantially the same con- 
dition as on the date of the offer (reason- 
able wear and tear excepted), or a 
description of the required property con- 
dition at closing. 

The provisions of this Rule shall apply only to 
preprinted offer and sales contract forms which 
a broker or salesman acting as an agent in a real 
estate transaction proposes for use by the buyer 
and seller. Nothing contained in this Rule shall 
be construed to prohibit the buyer and seller in 
a real estate transaction from altering, amending 
or deleting any provision in a form offer to pur- 
chase or contract; nor shall this Rule be con- 
strued to limit the rights of the buyer and seller 
to draft their own offers or contracts or to have 
the same drafted by an attorney at law. 

(b) A broker or salesman acting as an agent in 
a real estate transaction shall not use a preprinted 
offer or sales contract form containing the pro- 
visions or terms listed below. a«4 A broker, sa- 
lesman or anyone acting for or at the direction 
of the broker or salesman shall not insert or cause 
such provisions or terms to be inserted into any 
such preprinted form, at the tim e »f completion: 
even at the direction of the parties or their attor- 
ney_s. 

(1) any provision concerning the payment of 
a commission or compensation, including 
the forfeiture of earnest money, to any 
broker, salesman or firm; or 

(2) any provision that attempts to disclaim 
the liability of a broker or salesman for 
his representations in connection with the 
transaction. 

Statutory Authority G.S. 93 'A -3(c). 



ATTACHMENT II TO SUBMISSION FOR 
NOTICE FOR REPEAL OF RULES 

The cited rules were repealed February I, 1989, 
but the Office of Administrative Hearings has 



NORTH CAROLINA REGISTER 



1072 



PROPOSED RULES 



questioned whether the Administrative Rules Re- 
view Commission, which allowed the Real Estate 
Commission to repeal them, in fact had the au- 
thority to do so under the G.S. I50-59(c) review 
procedure. Therefore, to avoid any challenge, 
OAH suggested we repeal the rides through the 
formal rule making procedures required by Article 
2 of Chapter I SOB. 
The rules are: 

21 NCAC 5SA .0611, .1202 - .1203, .1205 - 

.1206. 

SECTION .0600 - ADMINISTRATIVE 
HEARINGS 

.061 1 ANSWERS AND OTHER PLEADINGS 
(REPEALED) 

Statutory Authority G.S. 93A-3(c); I50B-II. 

SECTION .1200 - CERTIFICATION OF REAL 
ESTATE INSTRUCTORS 

.1202 APPLICATION FOR INSTRUCTOR 

CERTIFICATION (REPEALED) 
.1203 CRITERIA FOR CERTIFICATION 

(REPEALED) 
.1205 DENIAL: REVOCATION: SUSPENSION 

OF INSTRUCTOR CERTIFICATION 

(REPEALED) 

Statutory Authority G.S. 93A-4(a),(d). 

.1206 CHANGES IN SCHOOL AFFILIATION 
OR ADDRESS (REPEALED) 

Statutory Authority G.S. 93A-4(a),(d). 



SUBCHAPTER S8A - REAL ESTATE BROKERS 
AND SALESMEN 

SECTION .0100 - GENERAL BROKERAGE 

.0104 LISTING CONTRACTS 

(a) Every written listing contract shall provide 
for its existence for a definite period of time and 
for its termination without prior notice at the 
expiration of that period. It shall not require an 
owner to notify a broker of his intention to ter- 
minate the listing. 

(b) Every written listing contract shall contain 
a provision requiring that the listed property be 
offered to aH buyers, without respect to their 
race, color, religion, sex, national origin, hand- 
icap or familial status. Such provision shall be 
set forth in a clear and conspicuous manner 
which shall distinguish it from other provisions 
of the contract. 



Statutory Authority G.S. 93A-3(c). 

.0105 ADVERTISING 

(a) Blind Ads. A broker shall not advertise the 
sale, purchase, exchange, rent or lease of real es- 
tate, for another or others, in a manner indicating 
the offer to sell, purchase, exchange, rent, or lease 
is being made by the broker's or salesman's 
principal. Every such advertisement shall clearly 
indicate that it is the advertisement of a broker 
or brokerage firm and shall not be confined to 
publication of only a post office box number, 
telephone number, or street address. 

(b) Registration of Assumed Name. In the 
event that any licensee shall advertise in any 
manner using a firm name, corporate name, or 
an assumed name which does not set forth the 
surname of the licensee, he shall first notify the 
commission in writing of such name and furnish 
the commission with a copy of each certificate 
filed with the office of the county register of deeds 
in compliance with Section 66-68, North Caro- 
lina General Statutes. 

(c) Authority to Advertise. 

(1) A salesman shall not advertise the sale, 
purchase, exchange, rent or lease of real 
estate for another or others without his 
broker's consent and without including in 
the advertisement the name of the broker 
or firm with whom he is associated. 

(2) A broker shall not display a "for sale" or 
"for rent" sign on any real estate without 
the consent of the owner or his authorized 
agent. 

(d) Business names. A broker or a salesman 
shall not include the name of a salesman or an 
unlicensed person in the name of a sole proprie- 
torship, partnership or non-corporate business 
formed for the purpose of real estate brokerage. 

Statutory Authority G.S. 55B-5; 66-68; 93A-3(c). 

.0106 DELIVERY OF INSTRUMENTS 

(a) Except as provided in Paragraph (b) of this 
Rule, every broker or salesman shall imme- 
diately, but in no event later than five days from 
the date of execution, deliver to the parties ther- 
eto copies of any contract, offer, lease, or option 
affecting real property. 

(b) A broker or salesman who has the express 
written authority to enter into leases or rental 
agreements on behalf of a property owner shall 
deliver to the owner within 30 days from the date 
of execution, copies of leases or rental agreements 
when the tenancy is less than 30 days. 

Statutory Authority G.S. 93A-3(c). 



1073 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



.0109 BROKERAGE EEES AND 
COMPENSATION 

-rte commission is He* a board ef arbitration 

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tToTTT^ CX^T^^^TTITI IE. JUl 1 1 I I III 1 1 V. I O tTT H Hill UL'l ECO v I ±\j 

Fate »f commissions, t«e division »f commis 
oiono, pay- ef salesm e n, af>4 similar matters, ^Fhe 
commission recommends, te avoid differences 
betwe e n parties, that- att agreements concerning 
peal estate transfers be reduced te writing at- tbe 
earliest practical time. 

(a) A broker or salesman shall not receive, ei- 
ther directly or indirectly, any commission, rebate 
or other valuable consideration from a vendor 
or a supplier of goods and services for an ex- 
penditure made on behalf of his principal in a 
real estate transaction without the written con- 
sent of the broker's or salesman's principal. 

(b) A broker or salesman shall not receive, ei- 
ther directly or indirectly, any commission, rebate 
or other valuable consideration for services which 
he recommends, procures, or arranges relating to 
a real estate transaction for any party, without 
full disclosure to such party; provided, however, 
that nothing iri this Rule shall be construed to 
permit a broker or salesman to accept any fee, 
kickback or other valuable consideration that is 
prohibited by the Real 1 'state Settlement Proce- 
dures Act of 1^74 (12 USC 261)1 et_ seq . ) or any 
rules and regulations promulgated by the I mtcd 
States Department of I lousing and Urban De- 
velopment pursuant to such Act. 

(c) The Commission is not a Board of Arbi- 
tration and has no jurisdiction to settle disputes 
between parties concerning such matters of con- 
tract as the rate of commissions, the division of 
commissions, pay of salesmen, and similar mat- 
ters. 

Statutory Authority G.S. 93A-3(c). 

SEC! ION .0400 - EXAMINATIONS 

.0401 TIME AND PLACE 

(a) Examinations for broker's and salesman's 
licenses will be scheduled at such times and 
places as determined by the executive director. 
Applicants will be scheduled for examination 
based on the date of application filing in accord- 
ance with the Commission's published schedule 
of examination dates and application filing dates. 
Applicants will be given written notice of when 
and where to appear for examination. 

(b) Except as provided in Paragraph (d) of this 
Rule, an applicant who has been scheduled for a 
particular examination date will not be resched- 
uled for a later examination date unless a request 
to be rescheduled is made at least 1 5 days in ad- 



vance of the scheduled examination date. A 
scheduled examination date may only be post- 
poned until the next following scheduled exam- 
ination date. 

(c) An applicant who has been scheduled for 
examination at a particular location will not be 
rescheduled for examination at a different lo- 
cation unless a request to be rescheduled is made 
at least 15 days in advance of the scheduled ex- 
amination date. 

(d) An applicant may be granted an excused 
absence from a scheduled examination if his ab- 
sence was the direct result of an emergency situ- 
ation or condition which was beyond the 
applicant's control and which could not have 
been reasonably foreseen by the applicant; how- 
ever, business conflicts, vacation conflicts or 
conflicts of a similar nature are not acceptable 
under any circumstances as grounds for granting 
an excused absence. A request for an excused 
absence must be made in writing within 15 days 
following the examination date and must be 
supported by appropriate documentation verify- 
insz the reason for the absence. 



Statutory Authority G.S. 93A-4(b),(d). 

.0402 SUBJECT MATTER AND PASSING 
SCORES 

(a) The salesman and broker examination shall 
test applicants on the following general subject 
areas: 

(1) real estate law; 

(2) real estate brokerage law and practices; 

(3) the real estate license law, rules as4 regu 
lations of the Commission and the Com- 
mission's trust account guidelines; 

(4) real estate finance; 

(5) real estate valuation (appraisal); 

(6) real estate mathematics; and 

(7) related subject areas. 

(b) In order to pass the salesman or broker 
examination, an applicant must corr e ctly answer 
1$ percent ef attain a score equal to at least 75 
percent of the total point value for the questions 
on the examination. Passing applicants will re- 
ceive only a score of "pass"; however, failing ap- 
plicants will be informed of their actual score. 

Statutory Authority G.S. 93A-4(b),(d). 

.0406 EXAMINATION REVIEW 

(a) An applicant who fails an examination may 
review his examination at such times and places 
as are scheduled by the executive director. A re- 
quest to review an examination must be made 
not later than the request deadline date estab- 
lished by the executive director for a scheduled 



NORTH CAROLINA REGISTER 



1074 



PROPOSED RULES 



examination review date. Failure to request an 
appointment to review an examination by the 
request deadline date or failure to appear for a 
scheduled appointment on the designated exam- 
ination review date shall constitute a waiver of 
the right to review such examination. Applicants 
who pass an examination may not review their 
examination. Applicants who review their ex- 
amination may not be accompanied by any other 
person at a review session, nor may any other 
person review an examination on behalf of an 
applicant. 

(b) An applicant may be granted an excused 
absence from a scheduled examination review if 
his absence was the direct result of an emergency 
situation or condition which was hevond the ap- 
plicant's control and which could not have been 
reasonably foreseen by the applicant; however, 
business conflicts, vacation conflicts or conflicts 
of a similar nature are not acceptable under any 
circumstances as grounds for granting an excused 
absence. A request for an excused absence must 
be made in writing within 15 days following the 
examination review date and must be supported 
by appropriate documentation verifying the rea- 
son for the absence. An applicant who fails to 
appear for a scheduled examination review or to 
obtain an excused absence in accordance with 
this Rule shall be deemed to have waived his 
riiiht to review his examination. 



Statutory Authority G.S. 93A-4(d). 

SECTION .0500 - LICENSING 

.0501 CHARACTER 

(a) At a meeting of the commission following 
each licensing examination, the applicants who 
have passed the examination shall be considered 
for licensing. When the moral character of an 
applicant is in question, action by the commis- 
sion will be deferred until the applicant has affir- 
matively demonstrated that he possesses the 
requisite truthfulness, honesty and integrity. 

(b) When the moral character of an applicant 
is in question, the commission shall notify the 
applicant and the applicant shall be entitled to 
demonstrate his character and fitness for licensure 
at a hearing before the commission according to 
the provisions of G.S. 150B. 

(c) Notice to the applicant that his moral 
character is in question shall be in writing, sent 
by certified mail, return receipt requested, to the 
address shown upon the application. The appli- 
cant shall have 60 days from the date of receipt 
of this notice to request a hearing before the 
Commission, failure to request a hearing within 
this time shall constitute a waiver of the appli- 



cant's right to a hearing on his application for [U 
censing, and the application shall be deemed 
denied. Nothing in this Rule shall be interpreted 
to prevent an applicant from re-applying for li^ 
censure. 

Statutory Authority G.S. 93A-4(b),(d). 

SECTION .1600 - DISCRIMINATORY 
PRACTICES PROHIBITED 

.1601 FAIR HOUSING 

Conduct by brokers and salesmen which vio- 
lates the provisions of the State Fair Housing Act 
constitutes improper conduct in violation of G.S. 
93A-6(a)(10). 

Statutory Authority G.S. 41 A; 93A-3(c). 
****************** 



lyotice is hereby given in accordance with G.S. 
1 SOB- 12 that the North Carolina Board of Ex- 
aminers for Speech and Language Pathologists 
and Audiologists intends to adopt rule(s) cited as 
21 NCAC 64 .0205 - .0207, .0305 - .0306; and 
amend rule(s) cited as 21 NCAC 64 .0301 - 
.0304. 

1 he proposed effective dale of this action is July 
1, 1989. 

1 he public hearing will be conducted at 11:00 
a.m. on April 21, 1989 at Omni/Civic Center, 
Chapel Hill Street, Durham, N.C. 

(^ omment Procedures: Persons seeking further 
information about this filing may contact John C. 
Randall, P.O. Box 1010. 400 W. Main St.. Dur- 
ham, NC 27702, telephone (919) 688-557/. by 
telephone or mail and may make written sub- 
missions for consideration at the above address or 
to P.O. Box 5545. Greensboro, NC 27435-0545. 

CHAPTER 64 - BOARD OF EXAMINERS OF 

SPEECH AND LANGUAGE PATHOLOGISTS 

AND AUDIOLOGISTS 

SECTION .0200 - INTERPRETATIVE RULES 

.0205 INCLUSIVE DATES OF SUPERVISED 
PROFESSIONAL EXPERIENCE 

The Board shall interpret Section 90-298(c) to 
mean that the supervised experience referred to 
in this Section and necessary to meet the re- 
quirements of Section 90-295(4) will begin on the 
date the temporary license fee is received by the 
Board. 



1075 



IVOR TH CA ROLINA R ECUS TER 



PROPOSED RULES 



Statutory Authority G.S. 90-304(a)(3). 

.0206 SUPERVISION OK PROFESSIONAL 
EXPERIENCE 

(a) The Board shall interpret Section 90-298(c) 
to mean the supervision which will be satisfac- 
tory to the Board will include, at least a mini- 
mum of four hours per month of direct, on-site 
observation of the applicant's work with patients, 
in addition to other methods of supervision, e.g. 
tape recording review, records review, staff meet- 
ings, etc. 

(b) A temporary license issued pursuant to 
Section 90-298 shall be suspended upon the ter- 
mination of approved supervision, and any pe- 
riod of practice without approved supervision 
shall not be deemed to comply with the practical 
experience requirements of Section 90-295(4). 

Statutory Authority G.S. 90-304(a)(3). 

.0207 PAYMENT OF FEES AND COMPLETION 
OF APPLICATIONS 

The Board shall interpret Section 90-297(a) to 
mean that the failure to pay appropriate fees or 
to supply additional information or documenta- 
tion necessary to complete an application within 
180 days following the date of written notice by 
regular mail to the applicant's address as sub- 
mitted to the Board, shall result in the applica- 
tion being considered abandoned without further 
notice to the applicant. 

Statutory Authority G.S. 90-304 (a)(3). 

SECTION .0300 - CODE OF ETHICS 

.0301 PREAMBLE 

The Board adopts Suction A of the 1 0"7 ' 1 Cod e 
of Ethics of the American Speech a«4 1 1 f aring 
Af f Soeiation. Copies may be obtained from the 
American Speech a«4 Hearing Association. 9030 
Q14 Georgetown Road, Washington, B.C.. at ho 
charge. 

Five principles serve as a basis for the ethical 
evaluation of professional conduct and form the 
underlying moral basis for the Code of 1 thics. 
1 icensees subscribing to this Code shall observe 
these principles as affirmative obligations under 
all conditions of professional activity. 

Statutory Authority G.S. 90-304(a)(3). 

.0302 PRINCIPLE OF ETHICS I 

^f-be Board adopts Section ft of the W4 Code 
of Ethics of the American Speech aod Hearing 
Association. Copies may be obtained from the 
American Speech a«4 Hearing Association, 9030 



(-M4 Georgetown Road, Washington, B.C., at ho 
charg e . 

I icensees shall hold paramount the welfare of 
individuals served professionally, and shall: 

( 1) use every resource available, including re- 
ferral to other specialists as needed, to pro- 
vide the best service possible. 

(2) fully inform individuals served of the na- 
ture and possible effects of the services. 

(3) fully inform subjects participating in re- 
search or teaching activities of the nature 
and possible effects of these activities. 

(4) charge fees commensurate with services 
rendered. 

(5) provide appropriate access to records of 
individuals served professionally. 

(6) take all reasonable precautions to avoid 
injuring individuals in the delivery of pro- 
fessional services. 

(7) evaluate services rendered to determine ef- 
fectiveness. 

(8) not exploit individuals in the delivery of 
professional services, including accepting in- 
dividuals for treatment when benefit cannot 
reasonabh be expected or continuing treat- 
ment unnecessarily. 

(9) not guarantee the results of any therapeutic 
procedures, directly or by implication. A 
reasonable statement of prognosis may he 
made, but caution must be exercised not to 
mislead individuals served professionally to 
expect results that cannot be predicted from 
sound evidence. 

( 10) not use individuals for teaching or research 
in a manner that constitutes invasion of pri- 
vacy or fails to afford informed free choice 
to participate. 

(11) not evaluate or treat speech, language or 
hearing disorders except in a professional 
relationship, including at least examination 
ill Ltl£ individual. I hev must not evaluate 
or treat solely by correspondence. This does 
not preclude follow-up correspondence with 
individuals previously seen , nor providing 
them with general information of an cduca- 
tional nature. 



( 12) not reveal to unauthorized individuals any 
professional or individual information ob- 
tained from the individual served profes- 
sionally, unless required by law or unless 
necessary to protect the welfare of the indi- 
vidual or the community. 

( 1 3) not discriminate in the delivery of profes- 
sional services or any basis that is unjustifi- 
able or irrelevant to the need for and 
potential benefit from such services, such as 
race, sex or religion. 



NORTH CAROLINA REGISTER 



1076 



PROPOSED RULES 



Statutory Authority G.S. ( )0-304(a)(3). 

.0303 PRINCIPLE OF ETHICS II 

The licensee must guard against conflicts of 
professional interest, and particularly: 

(1) J4e must shall not accept compensation in 
any form from a manufacturer or a dealer in 
prosthetic or other devices for recommend- 
ing any particular product. 

(2) 44*e licensee wt privat e practice must Ret 
advertise. It is permissibl e only to e mploy 
* business 6rtf4 sf similar announc e ment, 
a«4 to h*t one ' : ■ nam e , highest academic de- 
gree, type **£ aorviocs, a«4 locution to the 
classified j. ection to the telephone directory 
to the manner customarily followed by- phy 
nicianfi »«4 attorneys, tte may stat e that he 
hold; , it valid North Carolina license, tf toat 

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tte R*ay state that he hold ', the c e rtificate to 
clinical competence to the appropriate area 
(speech pathology and or audio logy) issu e d 
hy- the American Speech *h4 1 tearing Asso 
ciation, it" toat he tru e . shall only issue 
statements and announcements of services 
which provide accurate and adequate infor- 
mation to the public about the profession 
and the services rendered by its practitioners. 
The announcement mav include: identifi- 
cation by name, appropriate professional ti- 
tle and qualifications, services offered, fees, 
location, hours and telephone number, and 
other material and information which is not 
false or misleading. 



(3) He must shall not engage in commercial ac- 
tivities that conflict with h+* the responsibil- 
ities to the persons he serves individuals 
served professionally or to colleagues, Indi 
viduul licc - iT.ico ' .' i . atto their employ eni, it any, 
' ■ ' ■ ho elect to provide product '. a*e expected 
and shall require employees to follow these 
principles: 

(a) Products associated with the licensee's 
professional practice must be provided to 
the perr . on individual served as a part of a 
program of comprehensive habilitative 
care. 

(b) Insuring objectivity in professional deci- 
sions concerning providing of products 
necessitates that fees for professional ser- 
vices be independent of whether a product 
is provided. e*+*t to the product to the 
individual served Ht+t exceed that charged 
l*y the supplier, r«+4 additional charges 
related to prosiding products allow only 
fof r e covery to' cost ', dir e ctly attributable 
to the providing proc e ss. 



(c) Other principles of ethical professional 
practice which must be adhered to in the 
providing of products include: 

(i) providing to persons for individuals 
served a freedom of choice for the source 
of services and products, 

(ii) providing to persons individuals served 
a complete schedule of fees and charges in 
advance of rendering services, 

ftv-t (hi) evaluating the effectiveness of ser- 
vices rendered and products provided to 
the individual served, and 

(***) (iv) presenting to persons individuals 
served a statement which clearly differen- 
tiates between fees-for-services rendered 
and costs of products provided. atto 

(4) Alt licensees must obs e rve the principle that 
public stat e ments afto announcements to 
services should serve - to provide accurate atto 
adequate information to the public about 
the profession a&4 the services rendered by- 
the licensee. 4toe lic e ns e e should announce 
services to a manner consonant with highest 
professional standards to the community. 
The announcement may include: identifi 
cation hy- name, appropriate professional ti- 
tle a«4 qualifications, services offered, fees, 
location, hours atto t e lephone number, shall 
maintain adequate records of professional 
sen ices rendered. 

(5) shall neither provide services nor super- 
vision of services for which thev have not 
been properly prepared, nor permit services 
to be provided by anv of their staff who are 
not properly prepared to perform such ser- 
vices. 

(6) shall not delegate anv service requiring the 
professional competence of licensed individ- 
uals to unlicensed individuals. 

(7) shall not require am one under their super- 
vision to engage in anv practice that is a vi- 
olation of this Code of l'thics or of the 
licensing act. 

Statutory Authority G.S. 90-304(a)(3). 

.0304 PRINCIPLE OF- ETHICS III 

4-he licensee must assum e th e se additional spe- 
e+to responsibilities: 

(44/ J4e should help m toe e ducation to the 
public regarding speech a*to hearing prob 
l e ms »«4 oth e r matt e r ', lying within to* pro 
fessional competence: 

(-2} 44e should seek- to provide afto expand sef^ 
vice ', to persons w+to speech a«4 hearing 
handicaps, a«4 to assist to establishing high 
professional standards fef such programs: 



1077 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(3} He mufit f¥?& di i. criminati? e» the basis »f 
ruci ' , ruliuaun, h* **** m hh> profcw. i ionul Ft»- 
lationi i hipi . with h+s 6»Heagaes w client; . . 

licensees' statements to individuals served pro- 



fessionally and to the puhlic shall provide accu- 
rate information about the nature and 
management of communicative disorders, and 
about the profession and services rendered by its 
practitioners, and particularly: 

( 1 ) shall not misrepresent their training or 
competence. 

(2) shall not make public statements providing 
information about professional services and 
products which arc false, deceptive or mis- 
leading. 

(3) shall not use professional or commercial 
affiliations in any wav that would mislead 
or limit services to individuals served 
fcssionallv. 



Statutory Authority G.S. 90-304(a)(3). 

.0305 PRINCIPLE OK ETHICS IV 

Licensees shall maintain objectivity in all mat- 
ters concerning the welfare of individuals served 
professionally, and particularly: 

(1) shall dispense products to the individual 
served as a part of a program of compre- 
hensive habilitativc care. 

(2) shall establish fees for professional services 
independent of whether a product is dis- 
pensed. 

(3) shall provide freedom of choice for the 
source of services and products to persons 
served. 

(4) shall disclose price information about pro- 
fessional services rendered and products dis- 
pensed by providing to or posting for 
individuals served a complete schedule of 
fees and charges in advance of rendering 
services, which schedule differentiates be- 
tween fees for professional services and 
charges for products dispensed. 

(5) shall evaluate products dispensed to the in- 
dividuals served to determine effectiveness 
for that individual. 

(6) shall not participate in activities that con- 
stitute a conflict of professional interest. 

Statutory Authority G.S. 90-304(a)(3). 

.0306 PRINCIPLE OF ETHICS V 

(a) Licensees shall report the violations of this 
Code of Lthics of which they have knowledge or 
information. 

(b) Licensees shall cooperate fully with Board 
inquiries into matters of professional conduct re- 
lated to this Code of Lthics. 



Statutory Authority G.S. 90-304 (a) (3). 

TITLE 25 - OFFICE OF STATE 
PERSONNEL 

l\o(ice is hereby given in accordance with G.S. 
I SOB- 12 that the Office of State Personnel/ State 
Personnel Commission intends to adopt rule cited 
as 25 NCAC J A .0004; amend rules cited as 25 
NCAC IB .0402, .04/4; ID .0301 - .0302; U 
.0408, .0605, .0608, .0701 - .0703. 

1 he proposed effective dale of this action is July 
I, 1989. 

1 he public hearing will be conducted at 9:00 
a.m. on April 19, 1989 at Personnel Development 
Training Center, 101 West Peace Street, Raleigh, 
North Carolina 27611. 



Cc 



omment Procedures: Interested persons may 
present statements orally or in writing to the 
hearing or in writing prior to the hearing by mail 
addressed to: Drake Maynard, Office of State 
Personnel. 116 West Jones Street, Raleigh, North 
Carolina 27611. 

CHAPTER I - OFFICE OF STATE PERSONNEL 

SUBCHAPTER I A - GENERAL PROVISIONS 

.0004 WAIVER OF RULES BY STATE 
PERSONNEL DIRECTOR: 
EXCEPTIONS TO RULES 

The State Personnel Commission has the re- 
sponsibility and authority to waive or make ex- 
ceptions to its own rules, policies and procedures 
in the event of cases or situations in which the 
purpose of the existing rules, policies and proce- 
dures would be better addressed and when the 
overall statutory purpose of a fair, equitable and 
modem system of personnel administration 
would be better served by such a waiver. This 
Commission authorizes the State Personnel Di- 
rector, in his role as day to day administrator of 
this Commission's rules, policies and procedures, 
to exercise the power of waiver or the power to 
declare a situation to be an exception to existing 
rules and policies on behalf of this Commission. 
When such waivers or exceptions become too 
numerous or create difficulties of administration 
in other manners, the Director shall set forth the 
situation to the Commission and propose a re- 
solution for it. 

Statutory Authority G.S. 126-4(10). 



NORTH CAROLINA REGISTER 



1078 



PROPOSED RULES 



SI IK MAIMER Hi -STATE PERSONNEL 
COMMISSION 

SECTION .0400 - APPEAL TO COMMISSION 

.0402 WHEN APPEAL ALLOWED 

A party which wishes to tile written exceptions, 
to hie a brief or to make an oral presentation 
(limited to material contained m the official re- 
cord o\_ the contested case) present argument to 
the full commission must submit in writing h+* 
intention to tto ** within fivo days «4 receipt <-►£ 
t4»e proposal tof decision: the exceptions or bnef 
on a schedule established by the Office of State 
Personnel (OSP) for such' tilings. In the event 
that a party or parties wishes to make an oral 
presentation to the fuH Commission (with or 
without tiling written exceptions or a bnef). such 
notification to the OSP and the other partv must 
be made m writing no later than ten calendar 
davs after that party's receipt ot notification from 
the OSP of the scheduling of the recommended 
decision for review and decision by the Com- 
mission. Failure to notify the OSP and or the 
opposing party in a timely fashion m writing will 
be cause for delay of the Commission s consid- 
eration of the recommended decision. 



(-H 44 t4*e appealing party does t+t-4 request ft 
transcript t+f recording *4 t4+e hearing t+f *4 
t-be testimony, i-be appealing party ' . . hall 
submit » ' ■ ' ■ riling specific exceptions an4 
proposed findings «4 feet- within 44 day: . 
from r e ceipt *4 tfe* proposal fef decision. 

(-3-}- J4 the appealing party does requ e st ft tran 
script Bf recording «4 t-he- hearing t*f e+ toe 
testimony, t-he appealing party '. hall r . ubmit 
m writing specific exception 1 ' . »«4 proposed 
findings ef feet- within 444 days from r e c e ipt 
«4 the transcript e* recording. 

fi+ When written intention ', to- fee exception '. 
ft«4 propo ' ^ ' d findings e£ feet- *h4 written 
exception ' ' , ftt+4 proposed find i ng -. h4 feet- 
have been submitted i+* » timely nianner. t-he 
commission '. hall notify the parties t*f the 
t i m e ftft4 plac e fef presentation t4 their af- 
guments. 

f-4} tf »«y- party wishes to r . ubmit ft written 
bnef. such brief -. hall be •. ubmitted *t- l e a ». t 

t t i -. i . I'll. Qg| i -i r t ,~i tl^j J-jfj ■■ . \i 1 Q r- , -\ «--i I - L t- I 1 1 1 

ment before the commission. 
f*4. A4 brief . , e xc e ption -. ftffe propo- o d finding ' ' . 
t4 feet- '. hall be subm i tted to the hearing fe- 
fieef w-fe* conducted fee hearing ft* follow .. : 



ffe 4fee partier . may- agree to waive wfe argu 
ment '. ftffe present t-he matter en* brief -. . 

P} I he maximum time allotted for oral pres- 
entation shall be 15 minutes per side unless 
the commission chooses to grant a request 
for additional time. At the close of all oral 
argument ' . , presentations the commission 
shall conyene in executive session to con- 
sider the proposal fef decision recommended 
decision and shall modify, alter, set aside or 
atfirm the proposal, recommendation. 

fS) 4fee time limits set forth h* ther Rule, par- 
ticularly m- f-fe ef thrs Rule, w+H- bo strictly 
enforced. Failure to observe these time 
limits m submitting documents may be 
construed a* a waiver ef the right to appeal 
before the State Personnel Commission. 

Statutory Authority G.S. 126-4; 150B, Article 3. 

.0414 SITUATIONS IN WHICH ATTORNEYS 
FEES MAY BE AWARDED 

Attorney's fees may be awarded by the com- 
mission only in the following situations: 

( 1 ) the grievant is reinstated to the same or si- 
milar position from either a demotion or a 
dismissal; 

(2) the grievant is awarded back pay from cither 
a demotion or a dismissal, without regard to 
whether the grievant has been reinstated; 

(3) the grievant is determined, by the commis- 
sion or by the agency's internal grievance 
procedure, to have been discriminated 
against in violation of G.S. 126-16; 

(4) the grievant is awarded back pay as the re- 
fill ot a sir i i-ss|nl 'jik'\ aik i 1 alleging a vio- 
lation of G.S. 126-7.1; 



(a4 »fn* copy to too opposing party e* h» at- 

torney, 
fb-f eight copies to the hearing officer who 

shall distribute th e m to the members e£ 

the commission. 



f-ty (5) any combination of the above situations. 
Attorney's fees may be awarded when any of the 
above situations occur, cither within the agency 
internal grievance procedure or in an appeal to 
the State Personnel Commission. 

Statutory Authority G.S. 126-4(11); 126-7.1. 

SUBCHAPTER ID - COMPENSATION 

SECTION .0300 - PROMOTION 

.0301 DEFINITION AND POLICY 

Promotion is a change in status upward, docu- 
mented according to customary professional 
procedure and approved hv the State Personnel 
Director, resulting from assignment to a position 
of higher level. When it is practical and feasible, 
a vacancy should be filled from among the eligi- 
ble permanent employees; a vacancy must be 
filled bv an applying employee if required by 25 
NCAC. Subchapter 111 Recruitment and Se- 



1079 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



lection, Section .0600, Genera] Provisions, Rule 
.0625, Promotion Priority Consideration for 
Current Employees. Selection should be based 
upon demonstrated capacity, quality and length 
of service. 

Statutory Authority G.S. 126-4; 126-7.1. 

.0302 SALARY RATE 

The purpose of a promotional pay increase is 
to reward the employee for the assumption of 
duties more responsible and more difficult than 
those in the current position, fte primary ' factor 
determining the amount of increase is the relativ e 
difference m difficulty an4 responsibility between 
the present and Hew positions. Since promo 
tional increases result m permanent chang e to- 
basic salary, a promotional increase of- more than 
two- steps cannot be justified as a» offset to tern 
porary costs of promotion, such as relocation 
expenses. Subject to the availability of funds, the 
following will apply: 
( 1 ) Permanent Promotion 
(a) The salary 7 shall be increased to step one 
or by one step whichever is larger, but not 
to exceed the maximum of the new, 
higher ranee, class shall HP>t be exceeded. 
Exceptions: When at* employee is de- 
moted with ho change fo salary and s«b- 
sequently promoted back to- the same 
level within one year, the salary shall pe- 
main unchanged a«4 treated as rf the de- 
motion had- not occurred; if the 
employee's salary is above the maximum 
as a result ef a reallocation down, ho fo- 
creasc may be given b«t the salary H*ay- 
remain above the maximum. 
(i) When internal salary equity or budget 
considerations m t]ie receiving work unit 
or agency are necessary, and a specific sa- 
lary rate is published iri advance of a pro- 
motional offer; 
(ii) When an employee is demoted with no 
change in salary and subsequently pro- 
moted back to the same level within one 
year, the salary' shall remain unchanged 
and treated as if the demotion had not 
occurred; 



(iii) If the employee's salary' is above the 
maximum as a result of a reallocation 
down, no increase can be given but the 
salary may remain above the maximum. 
(+1 [tq_ If a probationary employee is promoted 
and the salary is at the hiring rate, the sa- 
lary must be increased to the hiring rate 
of the grade to which promoted until the 
employee is eligible for permanent ap- 
pointment. 



(4p) (c) If the employee is to receive a perform- 
ance salary increase on the same date as 
the promotion, the increase may be given 
before the promotional increase. 

fb4 (d) The salary may be increased by more 
than one and- one half steps op two- steps. 
step, not to exceed the number of salary 
grades provided by the promotion. The 
nature and magnitude of the change in 
jobs, the need to maintain equity of sala- 
ries within the work unit, and other man- 



agement 



needs 



must 



given 



consideration when making such requests. 
Only in extreme, well-documented cir- 
cumstances will salary increases be con- 



sidered which equate to more steps than 
the number <M grades provided by the 
promotion. Personnel forms must in- 
clude the justification. 
fe) J4- the agency finds it necessary and- equi 
table to- consider a larger incr e as e fop a 
promotion involving a three op more 
grade level change, a salary increase e£ 
more than two steps may- be requested. 
Some factors to be consider e d afer nature 
an4 magnitude of the chang e m jobs; 
available applicant !. ; special hp technical 
expertise required; and previous training 
itfir4 experience. Such requests may be 
mad e provided: 

fp) '+he agency head accepts accountability 
fop the decision of the amount to grant 
and wpH- provide written documentation 
giving reasons and justification fop the pe- 
quests. 

fii} Salary inequities ape Plot created within 
the work on+t op program. 
(e) Since promotional increases result in per- 
manent change to basic salary, a larger 
promotional increase cannot he justified 
as an offset to temporary costs of pro- 
motion, such as relocation expenses. 

Statutory Authority G.S. J 26-4. 

SUBCHAPTER I.I - EMPLOYEE RELATIONS 

SECTION .0400 - SERVICE AWARDS 
PROGRAM 

.0408 OTHER PROVISIONS 

Credit fop the aggregate service requirement 
shall be given fop permanent part time servic e 
(one half tfote op more) op> a prorated basis. 
Credit for the aggregate total State service re- 
quirement shall not be given for temporary part 
time employment and periods of break in sendee 
op leave without pay in excess of one-half the 
workdays and holidays in a pay period. +4** e*- 



NORTH CAROLINA REGISTER 



1 080 



PROPOSED RULES 



ceptions a*e (Exception: 
worker's compensation. 



military' leave and 
workers' compen- 



sation). Service in one or more state agencies 
counts toward total number of yean . ' years ser- 
vice for this program. 

Statutory Authority G.S. 126-4(10). 

SECTION .0600 - DISCIPLINARY ACTION: 
SUSPENSION AND DISMISSAL 

.0605 DISMISSAL: CAUSES RELATING TO 
THE PERFORMANCE Ol DUTIES 

(a) This category covers all types of perfor- 
mance-related inadequacies. This policy does 
not require that progressive warnings all concern 
the same type of unsatisfactory performance, 
toi* policy only requires tortt- tfee progressive 
warnings ati relat e to fab performance. Warnings 
related to personal conduct may he included in 
the progressive system for performance-related 
dismissal provided that the employee receives at 
least the number of warnings, regardless of the 
Ivims of the warning'', requued lor diMimsal on 
the basis of inadequate perfonnancc. Warnings 
administered under this policy arc intended to 
bring about a permanent improvement in job 
performance; should the required improvement 
later deteriorate, or other inadequacies occur, the 
supervisor may deal with this new unsatisfactory 
perfonnancc at the next level of discipline. 

Statutory Authority G.S. 125-4; 126-35. 

.0608 DISMISSAL: CAUSES RELATING TO 
PERSONAL CONDUCT 

(a) Employees may be dismissed, demoted, 
suspended or warned »f oth e rwis e disciplined on 
the basis of unacceptable personal conduct. 
Discipline may be imposed, as a result of unac- 
ceptable conduct, up to and including dismissal 
without any prior warning to the employee. Oral 
or written warnings given lor unacce ptable per- 
sonal conduct according to this Rule 



health and enhances overall quality of life con- 
ducive to optimal health. The program is to be 
known as the "WISE" program (Wellness Im- 
provement for State Employees). Employees can 
increase their awareness of health and wellbeing 
through educational efforts directed towards self- 
improvement, thereby achieving a healthier life- 
■4\ le. The WISE program recogni7.es that 
healthy employees, and programs that promote 
their health can help reduce increasing health 
benefits costs, absenteeism and decreased pro- 
ductivity. 

(b) Another purpose ef tot* program » to fa- 
cilitat e a combination ef educational, organii'.a 
tional (tft4 e nvironmental activities designed to 

, 1 1 *-t«-n-A m-t r^;tri'tl'«i~f i'i\T1,L 1 m I ■■■■> tn t 1-. , t l-.ll.itn ■ . t !-■ . t . . I » V-. 

ft WI "« 1 FV'T rTTTTOTtrnT l\J mv I'l.'.'IlI TV. TT^TTTTTT 

»f employees. 

Statutory Authority G.S. 126-4(10). 

.0702 POLICY 

The "WISE" program shall address improved 
health efforts including, but not limited to, self 
responsibility, stress management, nutritional 
awareness, physical fitness and environment sen- 
sitivity. environmental sensibility. Employees 
through self education w+d self improvement w*kl 
increase their awareness t»f health cmd well being, 
thereby achieving a more healthy lifestyle, Each 
agency agency university head has the responsi- 
bility, in cooperation with the Office of State 
Personnel, to implement the WISE program 
within their department /university, to develop 
a health promotion program within their depart 
ment. It is the agency's responsibility to assure 
that the program » geared to toe employee's 
needs *h4 to tttk-e positive steps toward promot 
n+g- lifestyles *h4 conditions which *fe known to 
have a positive impact e» toe health a«4 well 
being ©f employees, follows all guidelines and 
procedures established hv the WISE Office. 



cannbtbe Statutory Authority G.S. 126-4(10). 



used to shorten the progressive warning process 
required to dismiss an employee on the basis of 
unsatisfactory job performance. 

Statutory! Authority G.S. 126-4; 126-35. 

SECTION .0700 - WELLNESS IMPROVEMENT 
FOR STATE EMPLOYEES POLICY 

.0701 I'l KI'OSE 

(*) The purpose of the Wellness Improvement 
for State Employees Program is to develop and 
coordinate a program for active and retired state 
government employees which provide '. a» at- 
mosphere at- toe workplace promotes optimal 



.0703 ADMINISTRATION 

bach agency head shall designate at_ least one 
employee as the WISE program coordinator to 
be responsible for implementation »f toe pro 
gram within toe agency aftd development ef ad- 
ditional h e althful practices necessary to meet 
special situations <m4 needs tottt- afe unique to a 
particular agency a«4 to> employees, the opera- 
tion of the program within the agency. 1 arger 
agencies may find it helpful to designate an as- 
sistant to the WIS!: Coordinator. This assistant 
would be known as the Alternate WISH Coordi- 
nator. The WISE Coordinator should develop 
a network of contacts within their agencv in or- 



10SI 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



der to assure than every State employee has an 
equal opportunity to participate in the WISE 
program. These contacts are to be called WISH 
Liaisons. Agencies are encouraged to establish 
a wellness committee head by their WISH Coor- 
dinator and comprised of their WISE Liaisons to 
develop additional healthful practices necessary 
to meet special situations and needs that are 
unique to their particular agency and its em- 
ployees. In addition, an advisory committee 
Board made up of WISE Coordinators and ap- 
pointed ex-officio members these representatives 
shall be established in the Office of State Per- 
sonnel. This committer advisor.- Board will 
guide and assist in the development of a statewide 
comprehensive Wellness Improvement Program 
for State Employees. Ex-officio membership 
should include state employees with expertise in 



the medical, health insurance, nutrition, physical 
fitness and health /safety profession. 

I he State WISE Program Director The state 
personnol director and his designated staff shall 
be responsible for establishing working relation- 
ships and lines of communication with the advi- 
sory oommittoo Board and other resource 
personnel. The Director shall also be responsible 
for coordinating needed training and technical 
assistance to enhance the success of the program. 
It is the policy of the program to Whenever pes- 
sible, e fforts should utilize available resources 
from within state government and from gratis 
services from the private sector as much as pos- 
sible. The Oflice el State Personnel shall seek 
additional funds a«4 resources to further the de- 
velopment »f this program. 

Statutory Authority G.S. 126-4(10). 



NORTH CAROLINA REGISTER 



I OS 2 



LIST OF RULES AFFECTED 



NORTH CAROLINA ADMINISTRATIVE CODE 
EFFECTIVE: March I, 1989 



AGENCY 
DEPARTMENT OF ADMINISTRATION 



1 NCAC 11 


.2102 
.2111 




DEPARTMENT OF U;RI( I 


III KK 




2 NCAC 42 


.0201 
.0504 




DEPARTMENT OF COMMERCE 




4 NCAC IE 


.0303 




13A 


.0101 
.0201 
.0203 




13B 


.0002 - 


.0004 


13E 


.0302 






.0303 - 


.0306 




.0501 






.0603 






.0701 






.0703 






.0802 






.0S03 






.0901 - 


.0902 


13F 


.0101 - 


.0112 




.0115 - 


.0122 




.0201 - 


.0202 




.0301 - 


.0302 


!)M'\RIMKN 1 OK ( OKKK 1 IONS 





NCAC 2G .0306 



GOYKRNOR'S OFFICE 



NCAC 2B Executive Order Number 82 
Eff. January 29, 1989 
Executive Order Number 83 
Eff. February 8, 1989 
Executive Order Number 84 
Eff. February 10. 1989 



DKI'AKTMKM OF III M \N RESOI RCES 

10 NCAC 3M .0101 

.0104 
.0107 

.0202 - .0205 
.0207 
.0501 



ACTION TAKEN 



Amended 
Amended 



Am ended 
Amended 



Adopted 

Amended 

Repealed 

Amended 

Amended 

Amended 

Repealed 

Amended 

Amended 

Amended 

Repealed 

Repealed 

Adopted 

Amended 

Repealed 

Repealed 

Repealed 

Amended 



Temp. Amended 
Expires April 1, 1989 



.Amended 

Amended 

Adopted 

Amended 

Adopted 

Amended 



I OS 3 



NORTH CAROLINA REGISTER 



LIST OF RULES AFFECTED 



3R 


.2204 - 


.2208 




.2213- 


.2216 


4C 


.0203 
.0303 
.0306 
.0406 




7B 


.0335 






.0344- 


.0345 




.0350 - 


.0351 




.0352 - 


.0353 


7C 


.0601 - 


.0603 


8A 


.0901 - 


.0907 


KB 


.0901 - 


.0906 


9D 


.0303 
.0309 






.0327 - 


.0330 


10A 


.0487 




10D 


.0702 
.0901 
.1622 
.1625 
.1627 




10G 


.0103 






.0901 - 


.0914 


14C 


.1146 





Repealed 

Adopted 

Amended 

Amended 

Adopted 

Repealed 

Amended 

Repealed 

Amended 

Repealed 

Adopted 

Repealed 

Adopted 

Amended 

Amended 

Amended 

Adopted 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Adopted 

Amended 



DEPARTMENT OF JUSTICE 



12 NCAC 7D .0204 

DEPARTMENT OF LABOR 



Amended 



13 NCAC 7C 


.0101 - 


.0103 


Amended 


DEPARTMENT OF NATURAL RESOURCES 


AND COMMUNITY DEVELOPMENT 


15 NCAC 2B 


.0216 




Amended 




.0302 - 


.0304 


Amended 




.0308 - 


.0309 


Amended 


2J 


.0002 




Amended 


2M 


.0101 - 


.0103 


Adopted 




.0201 - 


.0202 


Adopted 




.0301 - 


.0303 


Adopted 




.0401 - 


.0403 


Adopted 




.0501 




Adopted 




.0601 - 


.0605 


Adopted 




.0701 - 


.0702 


Adopted 




.0801 - 


.0802 


Adopted 


7H 


.1901 - 


.1905 


Adopted 


10D 


.0002 - 


.0004 


Amended 


16C 


.0104 




Amended 




.0106 




Amended 




.0108 




Amended 


DEPARTMENT OF TRANSPORTATION 




19A NCAC 2B 


.0162 




Adopted 


3D 


.0216 




Temp. Amended 



Expires 08-08-89 



NORTH CAROLINA REGISTER 



10S4 



LIST OF RULES AFFECTED 



BOARD OF NURSING 

21 NCAC 36 .0401 - .0405 Adopted 

BOARD OF EXAMINERS OF PRACTICING PSYCHOLOGISTS 



21 



NCAC 54 



.1704 



.1904 
.2004 



.1601 

.1602 

.1603 

.1701 

.1801 

.1803 

.1901 

.1903 

.2001 

.2103 

.2201 - .2202 

.2204 

.2301 - .2302 

.2304 

.2306 

.2308 - .2311 

.2401 

.2501 

.2602 



Repealed 
Amended 
Repealed 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Repealed 
Amended 
Amended 
Amended 
Amended 



OFFICE OF STATE PERSONNEL 

25 NCAC ID .0105 

.0202 
.0205 
.0206 
.0210 
.1003 
.1005 

.1202- 1204 
.2101 - .2104 

IE .0210 
.0301 

U .0406 - .0408 



Amended 

Amended 

Amended 

Repealed 

Amended 

Amended 

Amended 

Amended 

Adopted 

Amended 

Amended 

Amended 



1085 



NORTH CAROLINA REGISTER 



NC AC INDEX 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT 



1 
j 

3 

4 
5 

6 

7 

8 

9 
10 
11 
12 
13 
14A 
15 
16 
17 
18 
19A 
20 
♦21 
22 
23 
24 
25 
26 



Administration, Department of 

Agriculture, Department of 

Auditor, Department of State 

Commerce, Department of 

Corrections, Department of 

Council of State 

Cultural Resources, Department of 

Elections, State Board of 

Governor, Office of the 

Human Resources, Department of 

Insurance, Department of 

Justice, Department of 

I ,abor, Department of 

Crime Control and Public Safety, Department of 

Natural Resources and Community Development, Department of 

Public Education, Department of 

Revenue, Department of 

Secretary of State, Department of 

Transportation, Department of 

Treasurer, Department of State 

Occupational Licensing Boards 

Administrative Procedures 

Community Colleges, Department of 

Independent Agencies 

State Personnel, Office of 

Administrative Ilearinus, Office of 



NOTE: Title 21 contains the chapters of the various occupational licensing boards. 
CHAPTER LICENSING BOARDS 



2 

4 
6 
8 

10 
12 
14 
16 
IX 
20 
21 
22 
26 
2S 
31 
32 
33 
34 
36 
37 
38 
40 
42 



Architecture, Board of 

Auctioneers, Commission for 

Barber Examiners, Board of 

Certified Public Accountant Examiners, Board of 

Chiropractic Examiners, Board of 

General Contractors, Licensing Board for 

Cosmetic Art Examiners, Board of 

Dental Examiners, Board of 

Electrical Contractors, Board of Examiners of 

Eorcstcrs, Board of Registration for 

Geologists, Board of 

I Iearing Aid Dealers and Litters Board 

landscape Architects, Licensing Board of 

Landscape Contractors, Registration Board of 

Martial & Eamily Therapy Certification Board 

Medical Examiners, Board of 

Midwifery Joint Committee 

Mortuary Science, Board of 

Nursing, Board of 

Nursing Home Administrators, Board of 

Occupational Therapists, Board of 

Opticians, Board of 

Optometry, Board of Examiners in 



NORTH CAROLINA REGISTER 



1086 



NC AC INDEX 



44 Osteopathic Examination and Registration, Board of 

46 Pharmacy, Board of 

48 Physical Therapy, Examining Committee of 

50 Plumbing and Heating Contractors, Board of 

52 Podiatry Examiners, Board of 

53 Practicing Counselors, Board of 

54 Practicing Psychologists, Board of 

56 Professional Engineers and Land Surveyors, Board of 

58 Real Estate Commission 

60 Refrigeration Examiners, Board of 

62 Sanitarian Examiners, Board of 

63 Social Work, Certification Board for 

64 Speech and Language Pathologists and 

Audiologists, Board of Examiners of 

66 Veterinary Medical Board 



1087 NOR TH CAROLINA REGIS TER 



CUMULA TIVE INDEX 



CUMULA TIVE INDEX 

(April 1988 - March 1989) 



1988 - 1989 



Pages 



AO - Administrative Order 

AG - Attorney General's Opinions 

C - Correction 

E - Errata 

EO - Executive Order 

FDL - Final Decision Letters 

FR - Final Rule 

GS - General Statute 

JO - Judicial Orders or Decision 

LRA - List of Rules Affected 

M - Miscellaneous 

NP - Notice of Petitions 

PR - Proposed Rule 

SO - Statements of Organization 

TR - Temporary Rule 



ADMINISTRATION 

Administrative Analysis Division, 447 PR 
Auxiliary Services, 270 PR 



Issue 



1 - 25 1 - April 

26 - 108 2 - April 

109 - 118 3 - May 

119 - 145 4 - May 

146 - 184 5 - June 

185 - 266 6 - June 

267 - 294 7 - July 

295 - 347 8 - July 

348 - 400 9 - August 

401 - 507 10 - August 

508 - 523 11 - September 

524 - 593 12 - September 

594 - 606 13 - October 

607 - 686 14 - October 

687 - 728 15 - November 

729 - 799 16 - November 

800 - 833 17 - December 

834 - 853 18 - December 

854 - 872 19 - January 

873 - 988 20 - January 

989 - 1009 21 - February 

1010 - 1025 22 - February 

1026 - 1053 23 - March 

1054 - 1091 24- March 



NORTH CAROLINA REGISTER 



10S8 



CUMULA TIVE INDEX 



Departmental Rules, 270 PR 

Human Relations Council, 609 PR 

State Construction, 187 PR, 834 PR 

Youth Advocacy and Involvement Office, 148 PR 

ADMINISTRATIVE HEARINGS 

General, 579 PR 

Hearings Division, 76 PR, 581 PR 

Rules Division, 580 PR 

706 Deferral, 843 PR 

ADMINISTRATIVE ORDER 

Administrative Order, 369 AO, 873 AO 

AGRICULTURE 

Markets. 992 PR 

Food and Drug Protection Division, 271 PR 

N.C. Gasoline and Oil Inspection Board, 689 PR 

N.C. Pesticide Board, 524 PR 

N.C. State Fair, 451 PR 

Plant Industry-, 453 PR, 992 PR 

Standards Division, 452 PR 

Structural Pest Control Committee, 296 PR 

Veterinary Division, 993 PR 

COMMERCE 

.Alcoholic Beverage Control Commission. 276 PR 

Departmental Rules. 612 PR 

Milk Commission. 120 PR. 190 PR 

N.C. State Ports Authority, 731 PR 

Seafood Industrial Park Authority, 613 PR 

COMMUNITY COLLEGES 

Community Colleges, 2S7 PR, 557 PR 

CORRECTION 

Division of Pnsons. 490 FR, 1046 FR 

CRIME CONTROL AND PUBLIC SAFETY 

Alcohol Law Enforcement, 47 PR 
Governor's Crime Commission. 1058 PR 

CULTURAL RESOURCES 

Division of Archives and History, 691 PR 

EDUCATION 

Elementary and Secondary Education, 862 PR, 1013 PR 

ELECTIONS 

State Board of Elections, 120 PR 

EXECUTIVE ORDERS 

Executive Orders 68-71, 1 FO 

72, 119 FO 

73, 146 FO 
74 - 75, 508 FO 
76 - 77, 594 FO 

78. 800 FO 

79 - SI. 9S9 FO 



I0S9 NOR TH CA ROLINA REGIS TER 



CUMULA TIVE INDEX 



82 - 84, 1026 EO 

FINAL DECISION LETTERS 

Voting Rights Act, 5 FDL, 26 FDL, 185 FDL, 267 FDL, 295 FDL, 370 FDL, 401 FDL, 511 FDL, 
597 FDL, 608 FDL, 688 FDL, 729 FDL, 801 FDL, 854 FDL, 877 FDL, 991 FDL 

GENERAL STATUTES 

Chapter 7A, 348 GS 
Chapter 143B, 350 GS 
Chapter 150B, 352 GS 

HUMAN RESOURCES 

Division of Aging, 229 PR 

Drug Commission, 113 FR 

Facility Services, 455 PR, 524 PR, 614 PR, 739 PR, 1027 PR 

Health Services, 7 PR, 220 PR, 296 PR, 616 PR, 879 PR, 1055 PR 

Medical Assistance, 7 PR, 30 PR, 109 PR, 121 PR, 237 PR, 303 PR, 461 PR 

Mental Health: General, 457 PR, 530 PR, 770 PR 

Mental Health: Hospitals, 459 PR 

Mental Health: Mental Retardation and Substance Abuse Services, 629 PR, 890 PR 

Mental Health: Other Programs, 530 PR, 

Office of the Secretary, 31 PR 

Services for the Blind, 948 PR 

Social Services Commission, 27 PR, 531 PR, 949 PR 

Vocational Rehabilitation Services, 371 PR 

INDEPENDENT AGENCIES 

Agricultural Finance Authority, 841 PR 

Housing Finance, 21 PR, 134 PR, 255 PR, 518 PR, 839 PR, 1000 PR 

INSURANCE 

Agent Services Division, 238 PR, 636 PR 

Company Operations Division, 470 PR 

Consumer Services, 691 PR 

Engineering and Building Codes, 772 PR 

Fire and Casualty Division, 32 PR, 461 PR, 773 PR, 993 PR 

Fire and Rescue Services Division, 122 PR, 149 PR 

Life: Accident and Health Division, 534 PR 

Special Services Division, 856 PR 

Support Services Division, 856 PR 

JUSTICE 

Criminal Justice Education and Training Standards, 304 PR 
Private Protective Services, 303 PR, 834 PR 

LABOR 

Boiler and Pressure Vessel, 598 PR 

Elevator and Amusement Device Division, 599 PR 

Office of Occupational Safety and Health, 598 PR, 607 C, 1028 PR, 1054 C 

LICENSING BOARDS 

Cosmetic Art Examiners, 283 PR, 473 PR, 1013 PR 

CPA Examiners, 73 PR, 472 PR, 837 PR 

Dental Examiners, 704 PR, 820 PR 

Electrical Contractors, 151 PR, 1060 PR 

Hearing Aid Dealers, 77 FR 

landscape Architects, 1036 PR 

Medical Examiners, 838 PR 

Nursing, Board of 376 PR, 477 PR, 704 PR, 965 PR 



NOR TH CA ROLINA REGIS TER 1090 



CUMULA TIVE INDEX 



Plumbing and Heating Contractors, 1037 PR 

Podiatr>' Examiners, 377 PR 

Real Estate Commission, 1062 PR 

Speech and language Pathologists and Audiologists, 1075 PR 

LIST OF RULES AFFECTED 

April 1, 1988, 102 LRA 
May 1, 1988, 137 LRA 
June 1, 1988, 260 LRA 
July 1, 1988, 335 LRA 
August 1, 1988, 496 LRA 
September 1, 1988, 585 LRA 
October 1, 1988, 675 LRA 
November 1, 1988, 790 LRA 
December 1, 1988, 845 LRA 
January 1, 1989, 976 LRA 
February 1, 1989, 1017 LRA 
March 1, 1989, 1083 LRA 

NATURAL RESOURCES AND COMMUNITY DEVELOPMENT 

Coastal Management, 11 PR, 67 PR, 254 PR, 281 PR, 703 PR, 1010 PR, 1030 PR 
Community Assistance, 69 PR, 555 PR, 836 PR 
Departmental Rules, 954 PR 

Division of Economic Opportunity, 556 PR, 778 PR 

Environmental Management, 241 PR, 278 PR, 599 PR, 656 PR, 698 PR, 777 PR 960 PR, 1029 PR 
Forest Resources, 68 PR 
Marine Fisheries. 62 PR 
Soil and Water Conservation, 1 1 1 PR 

Wildlife Resources and Water Safety, 111 PR, 282 PR, 470 PR, 513 PR, 555 PR, 599 PR, 656 PR, 
777 PR, 805 PR, S35 PR, 860 PR, 961 PR, 998 PR, 1011 PR, 1059 PR 

NOTICE OF PETITION 

Municipal Incorporation, 804 NP 

REVENUE 

Departmental Rules, 864 FR 

Individual Income Tax, 710 FR, 825 FR, 864 FR, 1002 FR 

License and Excise Tax, 113 FR 

Motor Fuels Tax, 258 FR 

Sales and Use Taxes, 386 FR, 584 FR, 826 FR 

SECRETARY OF STATE 

Securities Division, 125 PR, 656 PR 

STATE PERSONNEL 

State Personnel Commission, 135 PR, 333 PR, 559 PR, 781 PR, 971 PR, 1078 PR 

STATE TREASURER 

Escheats and Abandoned Property, 328 PR 
Local Government Commission, 18 PR 
Retirement Systems, 513 PR 

STATEMENTS OF ORGANIZATION 

Statements of Organization. 403 SO 

TRANSPORTATION 

Division of Highways, 719 FR, 1046 FR 

Division of Motor Vehicles, 172 FR, 258 FR, 720 FR, 1046 FR 



1 09 1 NOR TH CAROLINA REGIS TER 



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